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Gary Richman

Ameriprise Financial Services, LLC
45 Years of Experience
Owings Mills, MD
5 DisclosuresBroker
View SEC Summary
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Gary Richman is a registered investment advisor at Ameriprise Financial Services, LLC, based in Owings Mills, MD, with 45 years of industry experience. Gary 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

300 Red Brook Blvd Ste 320, Owings Mills, MD, 21117

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History

Regulatory History (5)
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
April 2018
Settled
Customer Dispute
July 2017
Settled
Customer Dispute
August 2002
Denied
Customer Dispute
August 1999
Settled
Customer Dispute
October 1996
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Gary owns multiple single-family real estate properties, some investment-related and some not, and is the president of Richman. He also manages and operates Bravos, Incorporated, dedicating about a third of his time to it, and earns income from singing, spending a few hours per week on this activity.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
December 2017 - Present · 8 yrs 10 mos
Ameriprise Financial Services, LLC
December 2017 - Present · 8 yrs 10 mos
Ameriprise Financial Services, LLCBroker
December 2017 - Present · 8 yrs 10 mos
Previous Registrations
LPL Financial LLC
October 2005 - December 2017 · 12 yrs 2 mos
LPL Financial LLCBroker
October 2005 - December 2017 · 12 yrs 2 mos
Ryan Beck & CO.
January 2005 - October 2005 · 9 mos
Ryan Beck & CO.Broker
May 2002 - October 2005 · 3 yrs 5 mos
Ferris, Baker Watts IncorporatedBroker
May 1992 - June 2002 · 10 yrs 1 mo
Lehman Brothers INC.Broker
April 1988 - June 1992 · 4 yrs 2 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
March 1984 - May 1988 · 4 yrs 2 mos
Legg Mason Wood Walker, IncorporatedBroker
March 1981 - March 1984 · 3 yrs
State Registrations13 states
ALDEFLGAMDMIMSNCNYOHPAVAWI
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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