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Brian Bausman

Ameriprise Financial Services, LLC
27 Years of Experience
Warrenton, VA
2 DisclosuresBroker
View SEC Summary
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Brian Bausman is a registered investment advisor at Ameriprise Financial Services, LLC, based in Warrenton, VA, with 27 years of industry experience. Brian 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

37 Main St, Ste 204, Warrenton, VA, 20186

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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
October 2020
Settled
Customer Dispute
December 2005
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Brian uses a business account to pay business expenses. This activity requires minimal time and is not investment-related.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
January 2002 - Present · 24 yrs 9 mos
Ameriprise Financial Services, LLC
December 2001 - Present · 24 yrs 10 mos
Ameriprise Financial Services, LLCBroker
December 2001 - Present · 24 yrs 10 mos
Previous Registrations
Ids Life Insurance CompanyBroker
December 2001 - July 2006 · 4 yrs 7 mos
Investors Security Company, INC.Broker
August 1999 - December 2001 · 2 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
December 1997 - July 1998 · 7 mos
State Registrations24 states
AZCACODCDEFLIAINMAMDMEMIMNMONCNMNYOHPASCTXVAWAWV
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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