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William Baumberger

Ameriprise Financial Services, LLC
24 Years of Experience
Newburgh, IN
2 DisclosuresBroker
View SEC Summary
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William Baumberger is a registered investment advisor at Ameriprise Financial Services, LLC, based in Newburgh, IN, with 24 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

8266 Bell Oaks Dr, Newburgh, IN, 47630-2588

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History

Regulatory History (2)
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
December 2019
Denied
Customer Dispute
May 2009
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

William operates Heritage Investments as a DBA for his LPL business. This activity is investment-related.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
December 2025 - Present · 10 mos
Ameriprise Financial Services, LLC
December 2025 - Present · 10 mos
Ameriprise Financial Services, LLCBroker
December 2025 - Present · 10 mos
Previous Registrations
LPL Financial LLCBroker
August 2024 - December 2025 · 1 yr 4 mos
LPL Financial LLC
August 2024 - December 2025 · 1 yr 4 mos
LPL Financial LLC
September 2010 - September 2023 · 13 yrs
LPL Financial LLCBroker
September 2010 - September 2023 · 13 yrs
Investment Professionals, INC.
March 2010 - September 2010 · 6 mos
Investment Professionals, INC.Broker
March 2010 - September 2010 · 6 mos
Fifth Third Securities, INC.
February 2005 - March 2010 · 5 yrs 1 mo
Fifth Third Securities, INC.Broker
January 2003 - March 2010 · 7 yrs 2 mos
American Fidelity Securities, INC.Broker
September 2001 - December 2002 · 1 yr 3 mos
Metropolitan Life Insurance CompanyBroker
February 2000 - October 2000 · 8 mos
Metlife Securities INC.Broker
February 2000 - October 2000 · 8 mos
State Registrations19 states
ALCAFLGAIAILINKYMDMINDNMOHSCTNTXVAWAWV
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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