Raymond Regala
Raymond Regala is a registered investment advisor at Ameriprise Financial Services, LLC, based in San Jose, CA, with 28 years of industry experience. Raymond operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 1,330,280 clients with $560B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Ameriprise Financial Services offers several managed account programs. The fees vary depending on the program selected. These fees include an asset-based fee, which covers investment advisory services and investment management fees. Some accounts may also have an Investments and Infrastructure Support Fee. Clients also pay investment costs, which are the underlying fees related to investment products purchased within the managed account. Additional fees and expenses may be incurred based on the nature of the investments.
Location
333 W Santa Clara St, San Jose, CA, 95113
Get directionsHistory
Regulatory History (3)
Customer Dispute
April 2008Customer Dispute
March 2008Customer Dispute
March 2008Other Business Activities
Raymond has outside employment at Comerica and works with FO2/Maestro, a cash management platform. These investment-related activities take a few hours per week and about 10-20% of his time, respectively.
Employment History
Current Registrations
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLCBroker
Ameriprise Financial Services, LLC
Previous Registrations
Comerica Securities
Comerica SecuritiesBroker
Great Western Financial Securities CorporationBroker
State Registrations9 states
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.