Larry Au
Larry Au is a registered investment advisor at Ameriprise Financial Services, LLC, based in Auburn, CA, with 22 years of industry experience. Larry 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
470 Nevada St Ste 200, Auburn, CA, 95603-3752
Get directionsHistory
Regulatory History (1)
Customer Dispute
April 2008Other Business Activities
Larry is a board member for the Salvation Army, coaching and guiding local lieutenants. He also serves as a trustee of a family trust, dedicating minimal time to these activities.
Employment History
Current Registrations
Ameriprise Financial Services, LLCBroker
Ameriprise Financial Services, LLC
Previous Registrations
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Wachovia Securities, LLCBroker
Wachovia Securities, LLC
A. G. Edwards & Sons, INC.Broker
A. G. Edwards & Sons, INC.
State Registrations17 states
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.