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Richard Gongorek

Ameriprise Financial Services, LLC
47 Years of Experience
Denver, CO
1 DisclosureBroker
View SEC Summary
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Richard Gongorek is a registered investment advisor at Ameriprise Financial Services, LLC, based in Denver, CO, with 47 years of industry experience. Richard 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

260 N Josephine St Ste 200, Denver, CO, 80206

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History

Regulatory History (1)
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 1998
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Ameriprise Financial Services, LLCBroker
October 2018 - Present · 8 yrs
Ameriprise Financial Services, LLC
October 2018 - Present · 8 yrs
Ameriprise Financial Services, LLC
October 2018 - Present · 8 yrs
Previous Registrations
Wells Fargo Clearing Services, LLC
April 2008 - October 2018 · 10 yrs 6 mos
Wells Fargo Clearing Services, LLCBroker
April 2008 - October 2018 · 10 yrs 6 mos
Mesirow Financial, INC.
April 2001 - April 2008 · 7 yrs
Mesirow Financial, INC.Broker
April 2001 - April 2008 · 7 yrs
Prudential Securities IncorporatedBroker
May 1989 - April 2001 · 11 yrs 11 mos
Drexel Burnham Lambert IncorporatedBroker
November 1984 - June 1989 · 4 yrs 7 mos
A.G. Becker Paribas IncorporatedBroker
February 1984 - September 1984 · 7 mos
Lehman Brothers Kuhn Loeb IncorporatedBroker
April 1980 - March 1984 · 3 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 1979 - April 1980 · 1 yr
State Registrations18 states
AZCOFLGAILKSMDMNMSNHNJNMNVNYOHTXVAWI
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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