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CFP
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CFP

Theodore Trafton

Ameriprise Financial Services, LLC
19 Years of Experience
Providence, RI
1 DisclosureBroker
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Theodore Trafton is a CFP-designated registered investment advisor at Ameriprise Financial Services, LLC, based in Providence, RI, with 19 years of industry experience. Theodore 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

1 Citizens Plz, Ste 610, Providence, RI, 02903-1344

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History

Regulatory History (1)
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Criminal
October 1999
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Theodore has several roles at Trafton, including Investment Committee Chair and Board Member, dedicating a few hours per week to each. He also co-chairs a search committee, spending about 10-20% of his time on it.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
January 2009 - Present · 17 yrs 9 mos
Ameriprise Financial Services, LLC
January 2009 - Present · 17 yrs 9 mos
Ameriprise Financial Services, LLCBroker
January 2009 - Present · 17 yrs 9 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
April 2007 - December 2008 · 1 yr 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 2007 - December 2008 · 1 yr 9 mos
State Registrations18 states
CACOCTFLHIMAMDMEMNMONCNHNVNYPARISCWA
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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