Richard Simpson
Richard Simpson is a registered investment advisor at Ameriprise Financial Services, LLC, based in Santa Clara, CA, with 20 years of industry experience. Richard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 1,330,280 clients with $560B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Ameriprise Financial Services offers several managed account programs. The fees vary depending on the program selected. These fees include an asset-based fee, which covers investment advisory services and investment management fees. Some accounts may also have an Investments and Infrastructure Support Fee. Clients also pay investment costs, which are the underlying fees related to investment products purchased within the managed account. Additional fees and expenses may be incurred based on the nature of the investments.
Location
3945 Freedom Circle, Ste 460, Santa Clara, CA, 95054
Get directionsHistory
Regulatory History (2)
Customer Dispute
November 2022Criminal
May 1986Other Business ActivitiesSells Insurance
Richard is an independent insurance broker for multiple companies, including Covered CA, Blue Shield, Health Net, Anthem Blue Cross Life and Health Insurance Company, Kaiser Permanente, and United Healthcare. He has been engaged in these activities since as early as 2007.
Employment History
Current Registrations
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLCBroker
State Registrations13 states
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.