James Carabini
James Carabini is a registered investment advisor at Ameriprise Financial Services, LLC, based in Sonoma, CA, with 34 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
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
Location
283 2nd St E, Sonoma, CA, 95476-5708
Get directionsHistory
Regulatory History (15)
Judgment / Lien
July 2026Judgment / Lien
July 2026Judgment / Lien
June 2025Judgment / Lien
October 2022Judgment / Lien
July 2020Judgment / Lien
November 2011Judgment / Lien
September 2011Judgment / Lien
July 2011Customer Dispute
March 2010Judgment / Lien
January 2009Customer Dispute
November 2008Judgment / Lien
June 2008Judgment / Lien
January 2008Judgment / Lien
April 2007Judgment / Lien
June 2006Employment History
Current Registrations
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLCBroker
Previous Registrations
Ids Life Insurance CompanyBroker
State Registrations9 states
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
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