James Stefanoff
James Stefanoff is a registered investment advisor at Ameriprise Financial Services, LLC, based in Dayton, OH, with 25 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
8801 N Main Street Ste 101, Dayton, OH, 45415
Get directionsHistory
Regulatory History (4)
Judgment / Lien
August 2019Customer Dispute
December 2009Customer Dispute
December 2007Customer Dispute
July 2005Other 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
Ameriprise Financial Services, LLCBroker
Ameriprise Financial Services, LLC
Previous Registrations
LPL Financial LLC
LPL Financial LLCBroker
Merrill Lynch Pierce Fenner & Smith INC.
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Morgan Stanley Dw INC.Broker
UBS Painewebber INC.Broker
State Registrations4 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.