James Protigal
James Protigal is a registered investment advisor at Ameriprise Financial Services, LLC, based in Sarasota, FL, with 33 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 1,330,280 clients with $560B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Ameriprise Financial Services offers several managed account programs. The fees vary depending on the program selected. These fees include an asset-based fee, which covers investment advisory services and investment management fees. Some accounts may also have an Investments and Infrastructure Support Fee. Clients also pay investment costs, which are the underlying fees related to investment products purchased within the managed account. Additional fees and expenses may be incurred based on the nature of the investments.
Location
1819 Main St Ste 1002, 10th Floor, Sarasota, FL, 34236
Get directionsHistory
Regulatory History (8)
Customer Dispute
June 2011Customer Dispute
February 2009Customer Dispute
May 2008Customer Dispute
October 2006Customer Dispute
January 2005Customer Dispute
September 2004Customer Dispute
October 1994Criminal
March 1990Other Business ActivitiesSells Insurance
James is a partner at The Advisors Planning Group, LLC, where he sells fixed business and insurance products, dedicating about 10-20% of his time. He is also President of Wealth Asset Management, LLC, and a partner in Advisors Planning Group, LLC for property management, and a notary, spending minimal time on these activities.
Employment History
Current Registrations
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLCBroker
Previous Registrations
Spire Wealth Management, LLC
Spire Securities, LLCBroker
Investors Capital Advisory
Investors Capital CORP.Broker
Sagepoint Financial, INC.
Sagepoint Financial, INC.Broker
Asset & Financial Planning, LTD
Prime Capital Services, INC.Broker
Sii Investments, INC.Broker
Southern Capital Securities, INC.Broker
Princor Financial Services CorporationBroker
Pruco Securities CorporationBroker
Waddell & Reed, INC.Broker
State Registrations23 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.