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James Dowd

Ameriprise Financial Services, LLC
43 Years of Experience
East Longmeadow, MA
6 DisclosuresBroker
View SEC Summary
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James Dowd is a registered investment advisor at Ameriprise Financial Services, LLC, based in East Longmeadow, MA, with 43 years of industry experience. James 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
—
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Location

East Longmeadow, MA

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History

Regulatory History (6)
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.
Employment Separation After Allegations
January 2012
Customer Dispute
October 2002
Settled
Customer Dispute
February 2002
Denied
Customer Dispute
April 2001
Closed-No Action
Customer Dispute
June 1997
Settled
Customer Dispute
August 1992
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James owns rental real estate property since 2014. He dedicates a few hours per week to this activity.

Employment History
Current Registrations
Ameriprise Financial Services, LLCBroker
September 2025 - Present · 1 yr 1 mo
Ameriprise Financial Services, LLC
September 2025 - Present · 1 yr 1 mo
Ameriprise Financial Services, LLC
September 2025 - Present · 1 yr 1 mo
Previous Registrations
Raymond James & Associates, INC.
July 2016 - September 2025 · 9 yrs 2 mos
Raymond James & Associates, INC.Broker
February 2012 - September 2025 · 13 yrs 7 mos
Morgan Stanley Smith Barney LLC
June 2009 - February 2012 · 2 yrs 8 mos
Morgan Stanley Smith BarneyBroker
June 2009 - February 2012 · 2 yrs 8 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Wachovia Securities, LLC
April 2006 - April 2007 · 1 yr
Wachovia Securities, LLCBroker
July 2003 - April 2007 · 3 yrs 9 mos
Prudential Securities IncorporatedBroker
January 1988 - July 2003 · 15 yrs 6 mos
E. F. Hutton & Company INCBroker
April 1984 - May 1988 · 4 yrs 1 mo
First Investors CorporationBroker
July 1983 - May 1984 · 10 mos
State Registrations21 states
CACOCTFLGAINMAMDMENCNENHNJNYPASCTXVAVTWAWV
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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