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Robert Breen

Ameriprise Financial Services, LLC
52 Years of Experience
Newport Beach, CA
3 DisclosuresBroker
View SEC Summary
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Robert Breen is a registered investment advisor at Ameriprise Financial Services, LLC, based in Newport Beach, CA, with 52 years of industry experience. Robert 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

660 Newport Center Dr, Ste 800, Newport Beach, CA, 92660

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History

Regulatory History (3)
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
March 2004
Award / Judgment
Customer Dispute
January 2000
Settled
Customer Dispute
October 1993
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Ameriprise Financial Services, LLC
November 2014 - Present · 11 yrs 11 mos
Ameriprise Financial Services, LLC
November 2014 - Present · 11 yrs 11 mos
Ameriprise Financial Services, LLCBroker
November 2014 - Present · 11 yrs 11 mos
Previous Registrations
Wells Fargo Advisors, LLCBroker
April 2005 - November 2014 · 9 yrs 7 mos
Wells Fargo Advisors, LLC
April 2005 - November 2014 · 9 yrs 7 mos
Citigroup Global Markets INC.
July 1997 - April 2005 · 7 yrs 9 mos
Citigroup Global Markets INC.Broker
August 1993 - April 2005 · 11 yrs 8 mos
Prudential Securities IncorporatedBroker
July 1984 - August 1993 · 9 yrs 1 mo
Painewebber IncorporatedBroker
January 1980 - August 1984 · 4 yrs 7 mos
Blyth Eastman Dillon & CO. IncorporatedBroker
February 1977 - January 1980 · 2 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
April 1974 - March 1977 · 2 yrs 11 mos
State Registrations19 states
AZCACOFLHIIDMAMIMOMSNCNMNVOKORPATXUTWA
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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