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Gary Truax

Ameriprise Financial Services, LLC
29 Years of Experience
Glendale, AZ
2 DisclosuresBroker
View SEC Summary
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Gary Truax is a registered investment advisor at Ameriprise Financial Services, LLC, based in Glendale, AZ, with 29 years of industry experience. Gary 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

17505 N 79th Ave Ste 402, Glendale, AZ, 85308

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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
June 2009
Denied
Customer Dispute
February 2009
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Gary manages his Ameriprise business, Taurus Partners, including paying rent and payroll taxes for independent contractors. This activity takes minimal time each month.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
November 2016 - Present · 9 yrs 11 mos
Ameriprise Financial Services, LLC
November 2016 - Present · 9 yrs 11 mos
Ameriprise Financial Services, LLCBroker
November 2016 - Present · 9 yrs 11 mos
Previous Registrations
Wedbush Securities INC.
August 2009 - November 2016 · 7 yrs 3 mos
Wedbush Securities INC.Broker
August 2009 - November 2016 · 7 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
August 2005 - August 2009 · 4 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 2005 - August 2009 · 4 yrs
Morgan Stanley
August 1998 - August 2005 · 7 yrs
Morgan Stanley Dw INC.Broker
May 1997 - August 2005 · 8 yrs 3 mos
State Registrations24 states
ALAZCACOFLGAIDINMAMDMEMIMNMTNVNYOHORTNTXUTVAWAWI
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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