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Derek Fish

22 Years of Experience
Hunt Valley, MD
2 DisclosuresBroker

Derek Fish is a registered investment advisor at Ameriprise Financial Services, LLC, based in Hunt Valley, MD, with 22 years of industry experience. Derek 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
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
12781 advisors
Number of Clients
1,330,280 clients
Average Client Portfolio
$424K average
Assets Under Management
$564.6B

Fee Structure

Minimum Investment:$2K

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.

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Location

303 International Cir Ste 490, Hunt Valley, MD, 21030

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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.
Regulatory
January 2016
Final
Employment Separation After Allegations
August 2013
Employment History
Current Registrations
Ameriprise Financial Services, LLC
September 2013 - Present · 12 yrs 8 mos
Ameriprise Financial Services, LLC
September 2013 - Present · 12 yrs 8 mos
Ameriprise Financial Services, LLCBroker
September 2013 - Present · 12 yrs 8 mos
Previous Registrations
UBS Financial Services INC.
November 2003 - September 2013 · 9 yrs 10 mos
UBS Financial Services INC.Broker
October 2003 - September 2013 · 9 yrs 11 mos
State Registrations28 states
AZCACOCTDCDEFLGAIAINMAMDMNNCNHNJNYOHPASCTNTXUTVAVTWAWIWV
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.
Derek Fish - Financial Advisor | TrueAdvisor