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James Copley

Ameriprise Financial Services, LLC
31 Years of Experience
Charlotte, NC
4 DisclosuresBroker
View SEC Summary
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James Copley is a registered investment advisor at Ameriprise Financial Services, LLC, based in Charlotte, NC, with 31 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

3125 Springbank Ln Ste H, Charlotte, NC, 28226

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History

Regulatory History (4)
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
March 2012
Denied
Customer Dispute
January 2008
Denied
Customer Dispute
August 2002
Closed-No Action
Customer Dispute
December 1999
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James is the treasurer of the Woodwinds 2 Property Owners Association since 2016. He devotes minimal time to this non-investment related activity.

Employment History
Current Registrations
Ameriprise Financial Services, LLCBroker
September 2026 - Present · 1 mo
Ameriprise Financial Services, LLC
September 2026 - Present · 1 mo
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
May 2003 - August 2026 · 23 yrs 3 mos
Wells Fargo Advisors
May 2003 - August 2026 · 23 yrs 3 mos
UBS Painewebber INC.
December 2001 - April 2003 · 1 yr 4 mos
UBS Painewebber INC.Broker
July 2001 - April 2003 · 1 yr 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 1994 - July 2001 · 6 yrs 9 mos
State Registrations11 states
AKCACTFLGAILMOMTNCSCVA
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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