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Richard Cole

Ameriprise Financial Services, LLC
27 Years of Experience
Tyler, TX
1 DisclosureBroker
View SEC Summary
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Richard Cole is a registered investment advisor at Ameriprise Financial Services, LLC, based in Tyler, TX, with 27 years of industry experience. Richard 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
12908 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

6793 Old Jacksonville Hwy, Tyler, TX, 75703

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History

Regulatory History (1)
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.
Regulatory
February 1999
Final
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Richard owns a business at 709 Harlequin Dr. since 2000, but details are not provided. He also serves as a board member for Cole since January 2023, dedicating minimal time to this role.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
November 2013 - Present · 12 yrs 11 mos
Ameriprise Financial Services, LLCBroker
November 2013 - Present · 12 yrs 11 mos
Ameriprise Financial Services, LLC
November 2013 - Present · 12 yrs 11 mos
Previous Registrations
LPL Financial LLCBroker
August 2008 - December 2013 · 5 yrs 4 mos
LPL Financial LLC
August 2008 - December 2013 · 5 yrs 4 mos
Nationwide Securities, INC.Broker
August 2008 - August 2008 · 0 mos
Nationwide Securities, LLC
August 2008 - August 2008 · 0 mos
1717 Capital Management CompanyBroker
March 2007 - August 2008 · 1 yr 5 mos
1717 Capital Management Company
June 2005 - August 2008 · 3 yrs 2 mos
Nationwide Securities, INC.Broker
July 2000 - June 2007 · 6 yrs 11 mos
Financial Network Investment CorporationBroker
January 1999 - June 2000 · 1 yr 5 mos
State Registrations10 states
ALARCAFLGAMNOHOKTXVA
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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