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CFP

James Cha

Ameriprise Financial Services, LLC
28 Years of Experience
Saddle Brook, NJ
Broker
View SEC Summary
View SEC Summary

James Cha is a CFP-designated registered investment advisor at Ameriprise Financial Services, LLC, based in Saddle Brook, NJ, with 28 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

250 Pehle Ave Ste 500, Park 80 West, Plaza Two, Saddle Brook, NJ, 07663

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Ameriprise Financial Services, LLC
July 2018 - Present · 8 yrs 3 mos
Ameriprise Financial Services, LLC
July 2018 - Present · 8 yrs 3 mos
Ameriprise Financial Services, LLCBroker
July 2018 - Present · 8 yrs 3 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
January 2008 - July 2018 · 10 yrs 6 mos
Wells Fargo Clearing Services, LLCBroker
January 2008 - July 2018 · 10 yrs 6 mos
A. G. Edwards & Sons, INC.Broker
May 2004 - January 2008 · 3 yrs 8 mos
A. G. Edwards & Sons, INC.
May 2004 - January 2008 · 3 yrs 8 mos
Merrill Lynch Pierce Fenner & Smith INC.
January 2001 - April 2004 · 3 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 1999 - April 2004 · 4 yrs 8 mos
Smith Barney INC.Broker
August 1994 - November 1995 · 1 yr 3 mos
State Registrations17 states
ALCACTDCFLGAMAMDNJNVNYOHORPASCTXVT
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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