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Charles Evans

Ameriprise Financial Services, LLC
45 Years of Experience
Monterey, CA
5 DisclosuresBroker
View SEC Summary
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Charles Evans is a registered investment advisor at Ameriprise Financial Services, LLC, based in Monterey, CA, with 45 years of industry experience. Charles 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 Lower Ragsdale Dr, Bldg 1 Ste 100, Monterey, CA, 93940

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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
December 2016
Denied
Customer Dispute
April 2005
Settled
Customer Dispute
September 2002
Denied
Customer Dispute
May 1999
Denied
Regulatory
January 1995
Final
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Ameriprise Financial Services, LLC
June 2023 - Present · 3 yrs 4 mos
Ameriprise Financial Services, LLCBroker
June 2023 - Present · 3 yrs 4 mos
Ameriprise Financial Services, LLC
June 2023 - Present · 3 yrs 4 mos
Previous Registrations
RBC Capital Markets, LLC
August 2011 - June 2023 · 11 yrs 10 mos
RBC Capital Markets, LLCBroker
March 2002 - June 2023 · 21 yrs 3 mos
Sutro & CO. IncorporatedBroker
June 1993 - March 2002 · 8 yrs 9 mos
Everen Securities, INC.Broker
September 1990 - June 1993 · 2 yrs 9 mos
Bateman Eichler, Hill Richards, IncorporatedBroker
January 1990 - September 1990 · 8 mos
Van Kasper & CompanyBroker
July 1988 - January 1990 · 1 yr 6 mos
Birr, Wilson Securities, INC.Broker
April 1986 - July 1988 · 2 yrs 3 mos
Birr, Wilson & CO., INC.Broker
January 1986 - April 1986 · 3 mos
Sutro & CO. IncorporatedBroker
May 1983 - January 1986 · 2 yrs 8 mos
Bateman Eichler, Hill Richards, IncorporatedBroker
January 1982 - May 1983 · 1 yr 4 mos
Dean Witter Reynolds INC.Broker
June 1981 - January 1982 · 7 mos
State Registrations22 states
AZCACOFLGAINLAMAMIMNMOMSNCNJNMNVNYORSCTNTXWA
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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