James Helfinstine
James Helfinstine is a registered investment advisor at Ameriprise Financial Services, LLC, based in Prescott, AZ, with 31 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
Prescott, AZ
Get directionsHistory
Regulatory History (2)
Customer Dispute
April 2020Customer Dispute
May 2013Other Business Activities
James owns commercial real estate since 2018 and a personal LLC since 2018, both activities are not investment-related. He spends minimal time on these activities.
Employment History
Current Registrations
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLCBroker
Ameriprise Financial Services, LLC
Previous Registrations
LPL Financial LLCBroker
LPL Financial LLC
National Planning Corporation ("npc of America" in Fl & Ny)
National Planning CorporationBroker
LPL Financial LLC
LPL Financial LLCBroker
State Registrations22 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.