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Samuel Vaughan

Ameriprise Financial Services, LLC
16 Years of Experience
Mobile, AL
1 DisclosureBroker
View SEC Summary
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Samuel Vaughan is a registered investment advisor at Ameriprise Financial Services, LLC, based in Mobile, AL, with 16 years of industry experience. Samuel 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

4332 Boulevard Park S, Mobile, AL, 36609

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History

Regulatory History (1)
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Criminal
July 1997
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Samuel is an advisory member of the Texas Association of Counties Investment Education Committee, assisting with planning investment education conferences. He also presents pre-prepared presentations at the annual "Basics of County Investments" Conference, dedicating minimal time to these activities.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
July 2021 - Present · 5 yrs 3 mos
Ameriprise Financial Services, LLC
July 2021 - Present · 5 yrs 3 mos
Ameriprise Financial Services, LLCBroker
July 2021 - Present · 5 yrs 3 mos
Previous Registrations
San Blas Securities LLCBroker
January 2021 - June 2021 · 5 mos
Financial Northeastern Securities, INC.Broker
April 2015 - January 2021 · 5 yrs 9 mos
First Public, LLCBroker
January 2010 - March 2015 · 5 yrs 2 mos
State Registrations16 states
ALCAFLGAILKYLAMAMSNCNENJNYTNTXVA
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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