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James Stefanoff

Ameriprise Financial Services, LLC
26 Years of Experience
Dayton, OH
4 DisclosuresBroker
View SEC Summary
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James Stefanoff is a registered investment advisor at Ameriprise Financial Services, LLC, based in Dayton, OH, with 26 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

8801 N Main Street Ste 101, Dayton, OH, 45415

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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.
Judgment / Lien
August 2019
Customer Dispute
December 2009
Closed-No Action
Customer Dispute
December 2007
Denied
Customer Dispute
July 2005
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James owns a business at 687 Rustic Oak Dr, Dayton OH since 2012, spending approximately 60 hours per month on it. He also works for USPS in Tipp City, OH since 2023, dedicating about 10-20% of his time.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
September 2011 - Present · 15 yrs 1 mo
Ameriprise Financial Services, LLCBroker
September 2011 - Present · 15 yrs 1 mo
Ameriprise Financial Services, LLC
September 2011 - Present · 15 yrs 1 mo
Previous Registrations
LPL Financial LLC
January 2005 - September 2011 · 6 yrs 8 mos
LPL Financial LLCBroker
December 2004 - September 2011 · 6 yrs 9 mos
Merrill Lynch Pierce Fenner & Smith INC.
August 2002 - December 2004 · 2 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 2002 - December 2004 · 2 yrs 4 mos
Morgan Stanley Dw INC.Broker
July 2000 - July 2002 · 2 yrs
UBS Painewebber INC.Broker
July 2000 - August 2001 · 1 yr 1 mo
State Registrations4 states
CAFLOHWV
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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