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James Williams

Ameriprise Financial Services, LLC
32 Years of Experience
Monterey, CA
1 DisclosureBroker
View SEC Summary
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James Williams is a registered investment advisor at Ameriprise Financial Services, LLC, based in Monterey, CA, with 32 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

1 Lower Ragsdale Dr, Bldg 1 Ste 100, Monterey, CA, 93940

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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
July 2009
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James is the treasurer of Williams since 2021 and a member of Williams since 2024. Both roles require minimal time and are not investment-related.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
January 2024 - Present · 2 yrs 9 mos
Ameriprise Financial Services, LLC
January 2024 - Present · 2 yrs 9 mos
Ameriprise Financial Services, LLCBroker
January 2024 - Present · 2 yrs 9 mos
Previous Registrations
Morgan Stanley
August 2017 - February 2024 · 6 yrs 6 mos
Morgan StanleyBroker
August 2017 - February 2024 · 6 yrs 6 mos
Wells Fargo Clearing Services, LLCBroker
July 2003 - August 2017 · 14 yrs 1 mo
Wells Fargo Clearing Services, LLC
July 2003 - August 2017 · 14 yrs 1 mo
Prudential Securities Incorporated
July 1997 - July 2003 · 6 yrs
Prudential Securities IncorporatedBroker
September 1996 - July 2003 · 6 yrs 10 mos
Painewebber IncorporatedBroker
December 1993 - October 1996 · 2 yrs 10 mos
State Registrations15 states
AZCACOFLHIIDMTNVOKORTXUTVTWAWY
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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