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Harold Lauber

Ameriprise Financial Services, LLC
51 Years of Experience
Tampa, FL
3 DisclosuresBroker
View SEC Summary
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Harold Lauber is a registered investment advisor at Ameriprise Financial Services, LLC, based in Tampa, FL, with 51 years of industry experience. Harold 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

501 S Dakota Ave Ste 1, Tampa, FL, 33606-2579

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History

Regulatory History (3)
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
August 2017
Settled
Judgment / Lien
August 2013
Regulatory
August 2008
Final
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Ameriprise Financial Services, LLCBroker
November 2018 - Present · 7 yrs 11 mos
Ameriprise Financial Services, LLC
November 2018 - Present · 7 yrs 11 mos
Ameriprise Financial Services, LLC
October 2018 - Present · 8 yrs
Previous Registrations
Herbert J. Sims & CO, INC.Broker
July 2015 - October 2018 · 3 yrs 3 mos
Herbert J. Sims Capital Management, INC.
July 2015 - October 2018 · 3 yrs 3 mos
RBC Capital Markets, LLC
October 2007 - August 2015 · 7 yrs 10 mos
RBC Capital Markets, LLCBroker
October 2007 - August 2015 · 7 yrs 10 mos
A. G. Edwards & Sons, INC.
April 1997 - October 2007 · 10 yrs 6 mos
A. G. Edwards & Sons, INC.Broker
April 1997 - October 2007 · 10 yrs 6 mos
Rodman & Renshaw INC.Broker
January 1991 - April 1997 · 6 yrs 3 mos
Prudential-Bache Securities INC.Broker
May 1989 - December 1990 · 1 yr 7 mos
Drexel Burnham Lambert IncorporatedBroker
June 1979 - June 1989 · 10 yrs
A. G. Becker IncorporatedBroker
July 1978 - July 1979 · 1 yr
Becker Securities IncorporatedBroker
August 1977 - July 1978 · 11 mos
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
August 1975 - November 1977 · 2 yrs 3 mos
State Registrations10 states
CAFLGAILMDNMNYPAVAWI
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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