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Warren Spencer

Ameriprise Financial Services, LLC
27 Years of Experience
Scarborough, ME
3 DisclosuresBroker
View SEC Summary
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Warren Spencer is a registered investment advisor at Ameriprise Financial Services, LLC, based in Scarborough, ME, with 27 years of industry experience. Warren 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

7 Oak Hill Terrace, Suite 214, Scarborough, ME, 04074-8996

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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.
Employment Separation After Allegations
October 2010
Regulatory
February 2010
Final
Employment Separation After Allegations
November 2009
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Warren owns a single-family real estate property in Norway, ME, since 2020. This activity is not investment-related.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
February 2020 - Present · 6 yrs 8 mos
Ameriprise Financial Services, LLC
January 2020 - Present · 6 yrs 9 mos
Ameriprise Financial Services, LLCBroker
January 2020 - Present · 6 yrs 9 mos
Previous Registrations
Kovack Advisors, INC.
November 2010 - March 2020 · 9 yrs 4 mos
Kovack Securities INC.Broker
November 2010 - February 2020 · 9 yrs 3 mos
Edward Jones
January 2007 - December 2009 · 2 yrs 11 mos
Edward JonesBroker
April 1998 - December 2009 · 11 yrs 8 mos
State Registrations2 states
MENH
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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