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Brent Banker

Ameriprise Financial Services, LLC
31 Years of Experience
The Woodlands, TX
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Brent Banker is a registered investment advisor at Ameriprise Financial Services, LLC, based in The Woodlands, TX, with 31 years of industry experience. Brent is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 6 more. Their firm serves 1,386,329 clients with $660B in assets under management.

Ameriprise Financial Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
12955 advisors
Number of Clients
1,386,329 clients
Average Client Portfolio
$476K average
Assets Under Management
$660.5B

Fee Structure

Minimum Investment:$2K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

The maximum total annual advisory fee is 2.0% of managed account assets. Fees are negotiable with your financial advisor and vary based on the specific program and services selected.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

8505 Technology Forest Pl, Ste 203, The Woodlands, TX, 77381-1158

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
July 2015
Denied
Customer Dispute
January 2015
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Brent owns real estate and another business, both deemed not investment-related. He also has outside employment with NSRAS, LLC, dedicating minimal time to it.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
February 2016 - Present · 10 yrs 8 mos
Ameriprise Financial Services, LLC
January 2016 - Present · 10 yrs 9 mos
Ameriprise Financial Services, LLCBroker
January 2016 - Present · 10 yrs 9 mos
Previous Registrations
Ameriprise Financial Services, INC.
January 2016 - January 2016 · 0 mos
Wells Fargo Advisors, LLCBroker
January 2011 - January 2016 · 5 yrs
Wells Fargo Advisors, LLC
January 2011 - January 2016 · 5 yrs
Wells Fargo Investments, LLC
January 2005 - January 2011 · 6 yrs
Wells Fargo Investments, LLCBroker
September 2004 - January 2011 · 6 yrs 4 mos
Wm Financial Services, INC.Broker
January 2003 - September 2004 · 1 yr 8 mos
Wm Financial Services, INC.Broker
May 2001 - September 2002 · 1 yr 4 mos
Park Avenue Securities LLCBroker
May 1999 - July 2001 · 2 yrs 2 mos
Guardian Investor Services CorporationBroker
August 1997 - May 1999 · 1 yr 9 mos
Mony Securities CORP.Broker
November 1994 - June 1997 · 2 yrs 7 mos
State Registrations20 states
ARAZCACOFLGAIALAMNMONCNJNMOHOKSCTXWAWIWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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More financial advisors in The Woodlands, TX →All financial advisors in Texas →
Brent Banker - Financial Advisor | TrueAdvisor