TrueAdvisor
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CFP
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CFP

Troy Okumura

Ameriprise Financial Services, LLC
12 Years of Experience
Santa Clara, CA
Broker
View SEC Summary
View SEC Summary

Troy Okumura is a CFP-designated registered investment advisor at Ameriprise Financial Services, LLC, based in Santa Clara, CA, with 12 years of industry experience. Troy 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
12908 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

3945 Freedom Circle, Ste 460, Santa Clara, CA, 95054

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Troy owns two single-family real estate properties, one in Horn Lake, MS, and another in Marina, CA. These properties are not investment-related.

Employment History
Current Registrations
Ameriprise Financial Services, LLCBroker
June 2023 - Present · 3 yrs 4 mos
Ameriprise Financial Services, LLC
June 2023 - Present · 3 yrs 4 mos
Ameriprise Financial Services, LLC
June 2023 - Present · 3 yrs 4 mos
Previous Registrations
Kestra Advisory Services, LLC
April 2016 - March 2023 · 6 yrs 11 mos
NFP Advisor Services, LLC
November 2013 - September 2016 · 2 yrs 10 mos
Kestra Investment Services, LLCBroker
July 2013 - March 2023 · 9 yrs 8 mos
State Registrations14 states
AZCADCHIIDINMINCNJNMORVAWAWI
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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