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Adrian Castillo

Ameriprise Financial Services, LLC
11 Years of Experience
Lodi, CA
2 DisclosuresBroker
View SEC Summary
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Adrian Castillo is a registered investment advisor at Ameriprise Financial Services, LLC, based in Lodi, CA, with 11 years of industry experience. Adrian 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

801 S Ham Ln, Ste H, Lodi, CA, 95242-7502

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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.
Financial
December 2019
Final
Financial
October 2019
Final
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Ameriprise Financial Services, LLC
November 2023 - Present · 2 yrs 11 mos
Ameriprise Financial Services, LLC
June 2022 - Present · 4 yrs 4 mos
Ameriprise Financial Services, LLCBroker
June 2022 - Present · 4 yrs 4 mos
Previous Registrations
J.P. Morgan Securities LLCBroker
February 2015 - June 2022 · 7 yrs 4 mos
State Registrations2 states
CAVA
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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