James Lee
James Lee is a registered investment advisor at Ameriprise Financial Services, LLC, based in Mobile, AL, 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
3514 Montlimar Plaza Dr, Mobile, AL, 36609
Get directionsHistory
Regulatory History (2)
Judgment / Lien
October 2017Customer Dispute
June 2004Other Business Activities
James has business ownership interests and outside employment. He spends a few hours per week on these activities, some of which occur during trading hours.
Employment History
Current Registrations
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLCBroker
Ameriprise Financial Services, LLC
Previous Registrations
Ids Life Insurance CompanyBroker
J. Roe Burton & CO. INC.Broker
State Registrations11 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.