James Helfinstine
James Helfinstine is a registered investment advisor at Ameriprise Financial Services, LLC, based in Prescott, AZ, 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.
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
3177 Clearwater Drive Suite A, Prescott, AZ, 86305
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.
Exams
More Advisors
- Eric FairbanksAmeriprise Financial Services, LLC
- Michelle Morris, CFPBrio Financial Planning
- Kelly Waring, CFPLPL Financial LLC
- Adam Goldstein, CFPLPL Financial LLC
- Donovan Ritter, ChFCJ. W. Cole Advisors, INC.
- Randall Loemker, CFPTruepath Financial Planning