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Marcial Vargas

Ameriprise Financial Services, LLC
15 Years of Experience
Redwood City, CA
1 DisclosureBroker
View SEC Summary
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Marcial Vargas is a registered investment advisor at Ameriprise Financial Services, LLC, based in Redwood City, CA, with 15 years of industry experience. Marcial 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

255 Shoreline Dr, Ste 400, Redwood City, CA, 94065

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History

Regulatory History (1)
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.
Customer Dispute
July 2024
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Marcial receives rental income from renting out an in-law unit in his primary residence since 2019. This activity is investment-related and requires minimal time.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
June 2022 - Present · 4 yrs 4 mos
Ameriprise Financial Services, LLCBroker
June 2022 - Present · 4 yrs 4 mos
Ameriprise Financial Services, LLC
June 2022 - Present · 4 yrs 4 mos
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
August 2014 - June 2022 · 7 yrs 10 mos
Wells Fargo Clearing Services, LLC
August 2014 - June 2022 · 7 yrs 10 mos
J.P. Morgan Securities LLC
October 2012 - August 2014 · 1 yr 10 mos
J.P. Morgan Securities LLCBroker
October 2012 - August 2014 · 1 yr 10 mos
Chase Investment Services CORP.
September 2011 - October 2012 · 1 yr 1 mo
Chase Investment Services CORP.Broker
September 2011 - October 2012 · 1 yr 1 mo
State Registrations4 states
AZCANVWA
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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