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CFP
RL
CFP

Ronald Lam

Ameriprise Financial Services, LLC
28 Years of Experience
Lake Oswego, OR
5 DisclosuresBroker
View SEC Summary
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Ronald Lam is a CFP-designated registered investment advisor at Ameriprise Financial Services, LLC, based in Lake Oswego, OR, with 28 years of industry experience. Ronald 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

5000 Meadows Rd, Ste 450, Lake Oswego, OR, 97035

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History

Regulatory History (5)
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 2017
Settled
Customer Dispute
December 2015
Settled
Employment Separation After Allegations
October 2015
Customer Dispute
March 2009
Denied
Customer Dispute
April 2005
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Ronald is associated with Wealthbridge Advisors, Inc. This investment-related activity takes about a quarter of his time.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
January 2018 - Present · 8 yrs 9 mos
Ameriprise Financial Services, LLCBroker
November 2015 - Present · 10 yrs 11 mos
Ameriprise Financial Services, LLC
November 2015 - Present · 10 yrs 11 mos
Previous Registrations
Wells Fargo Advisors, LLC
January 2011 - October 2015 · 4 yrs 9 mos
Wells Fargo Advisors, LLCBroker
January 2011 - October 2015 · 4 yrs 9 mos
Wells Fargo Investments, LLCBroker
April 2009 - January 2011 · 1 yr 9 mos
Wells Fargo Investments, LLC
April 2009 - January 2011 · 1 yr 9 mos
Wamu Investments, INC.
November 2006 - April 2009 · 2 yrs 5 mos
Wamu Investments, INC.Broker
September 2002 - April 2009 · 6 yrs 7 mos
Phillips & Company Securities INC.Broker
June 1998 - September 2002 · 4 yrs 3 mos
State Registrations16 states
AZCACOFLHIIDILMTNMNVOKORRITXUTWA
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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