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William Roberts

Ameriprise Financial Services, LLC
53 Years of Experience
Hinsdale, IL
3 DisclosuresBroker
View SEC Summary
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William Roberts is a registered investment advisor at Ameriprise Financial Services, LLC, based in Hinsdale, IL, with 53 years of industry experience. William 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

15 Spinning Wheel Rd, Ste 217, Hinsdale, IL, 60521-7669

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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
April 1993
Settled
Customer Dispute
February 1993
Award / Judgment
Customer Dispute
September 1992
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

William has a business ownership stake in an investment-related entity since 1981. He spends minimal time on this activity.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
April 2012 - Present · 14 yrs 6 mos
Ameriprise Financial Services, LLCBroker
October 2011 - Present · 15 yrs
Previous Registrations
Wells Fargo Advisors, LLC
January 2008 - October 2011 · 3 yrs 9 mos
Wells Fargo Advisors, LLCBroker
January 2008 - October 2011 · 3 yrs 9 mos
A. G. Edwards & Sons, INC.
December 2000 - January 2008 · 7 yrs 1 mo
A. G. Edwards & Sons, INC.Broker
August 2000 - January 2008 · 7 yrs 5 mos
Rothschild Investment CorporationBroker
January 1994 - August 2000 · 6 yrs 7 mos
Lehman Brothers INC.Broker
March 1989 - January 1994 · 4 yrs 10 mos
Painewebber IncorporatedBroker
January 1980 - March 1989 · 9 yrs 2 mos
Paine, Webber, Jackson & Curtis IncorporatedBroker
April 1974 - January 1980 · 5 yrs 9 mos
Dupont Walston, IncorporatedBroker
June 1973 - April 1974 · 10 mos
State Registrations7 states
COFLIDILINORTX
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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