TrueAdvisor
TrueAdvisor
JD
CFP
JD
CFP

James Dotzman

Ameriprise Financial Services, LLC
39 Years of Experience
Philadelphia, PA
Broker
View SEC Summary
View SEC Summary

James Dotzman is a CFP-designated registered investment advisor at Ameriprise Financial Services, LLC, based in Philadelphia, PA, with 39 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
—
View Full SEC Brochure

Location

100 N 18th St Ste 750, Philadelphia, PA, 19103

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

James has business ownership in a non-investment related activity since 2013. He spends minimal time on this activity.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
December 2022 - Present · 3 yrs 10 mos
Ameriprise Financial Services, LLCBroker
December 2022 - Present · 3 yrs 10 mos
Ameriprise Financial Services, LLC
December 2022 - Present · 3 yrs 10 mos
Previous Registrations
RBC Capital Markets, LLCBroker
June 2016 - December 2022 · 6 yrs 6 mos
RBC Capital Markets, LLC
June 2016 - December 2022 · 6 yrs 6 mos
Oppenheimer & CO. INC.Broker
August 2013 - July 2016 · 2 yrs 11 mos
Oppenheimer & CO. INC.
August 2013 - July 2016 · 2 yrs 11 mos
Piper Jaffray Investment Management LLC
December 2012 - August 2013 · 8 mos
Piper Jaffray & CO.Broker
January 2011 - August 2013 · 2 yrs 7 mos
Jvb Financial Group, LLCBroker
November 2009 - January 2011 · 1 yr 2 mos
TD Securities (USA) LLCBroker
January 2009 - November 2009 · 10 mos
Commerce Capital Markets, INC.Broker
September 2006 - February 2009 · 2 yrs 5 mos
Starboard Capital Markets, LLCBroker
September 1994 - July 2007 · 12 yrs 10 mos
A. Webster Dougherty & CO., IncorporatedBroker
August 1986 - August 1994 · 8 yrs
State Registrations22 states
CACODEFLGAIALAMAMDMEMIMNNCNJNYOHPASCVAVTWIWV
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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