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Randolph Tate

Ameriprise Financial Services, LLC
24 Years of Experience
Richmond, VA
5 DisclosuresBroker
View SEC Summary
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Randolph Tate is a registered investment advisor at Ameriprise Financial Services, LLC, based in Richmond, VA, with 24 years of industry experience. Randolph 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

7500 Boulder View Dr, Richmond, VA, 23225-4046

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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.
Financial
November 2025
Final
Financial
May 2025
Final
Judgment / Lien
April 2017
Judgment / Lien
February 2006
Customer Dispute
December 2003
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Ameriprise Financial Services, LLC
May 2022 - Present · 4 yrs 5 mos
Ameriprise Financial Services, LLC
May 2022 - Present · 4 yrs 5 mos
Ameriprise Financial Services, LLCBroker
May 2022 - Present · 4 yrs 5 mos
Previous Registrations
CUNA Brokerage Services, INC.
August 2004 - May 2022 · 17 yrs 9 mos
CUNA Brokerage Services, INC.Broker
July 2004 - May 2022 · 17 yrs 10 mos
Wachovia Securities, LLC
June 2003 - July 2004 · 1 yr 1 mo
Wachovia Securities, LLCBroker
June 2003 - July 2004 · 1 yr 1 mo
Merrill Lynch Pierce Fenner & Smith INC.
January 2002 - May 2003 · 1 yr 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 2002 - May 2003 · 1 yr 4 mos
H&r Block Financial Advisors, INC.Broker
July 2000 - October 2000 · 3 mos
State Registrations10 states
CAFLMDMINCPASCTXVAWV
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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