Brock Brady
Brock Brady is a registered investment advisor at Ameriprise Financial Services, LLC, based in Bellevue, WA, with 21 years of industry experience. Brock 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
11201 SE 8th St Ste 115, Bellevue, WA, 98004
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Regulatory History (1)
Customer Dispute
October 2022Other Business ActivitiesSells Insurance
Brock is a Director of Business Transition at Freeman Lundt, assisting business owners in selling their businesses. This role involves market analysis, marketing material development, and transaction coordination, taking about a quarter of Brock's time.
Employment History
Current Registrations
Ameriprise Financial Services, LLCBroker
Ameriprise Financial Services, LLC
Previous Registrations
Cetera Advisor Networks LLC
Cetera Advisor Networks LLCBroker
Voya Financial Advisors, INC.
Voya Financial Advisors, INC.Broker
AXA Advisors, LLCBroker
AXA Advisors, LLC
State Registrations1 state
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.