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James Swallow

Ameriprise Financial Services, LLC
23 Years of Experience
Isle of Palms, SC
1 DisclosureBrokerSells Insurance
View SEC Summary
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James Swallow is a registered investment advisor at Ameriprise Financial Services, LLC, based in Isle of Palms, SC, with 23 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

103 Palm Boulevard Suite 3C, Isle of Palms, SC, 29451

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History

Regulatory History (1)
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
December 2021
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

James owns multiple single-family real estate properties and is on the board of directors for Swallow, dedicating minimal time to these activities. He is also an independent insurance broker selling fixed annuities.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
April 2021 - Present · 5 yrs 6 mos
Ameriprise Financial Services, LLC
February 2003 - Present · 23 yrs 8 mos
Ameriprise Financial Services, LLCBroker
February 2003 - Present · 23 yrs 8 mos
Previous Registrations
Ameriprise Financial Services, LLC.
August 2010 - December 2020 · 10 yrs 4 mos
Ids Life Insurance CompanyBroker
February 2003 - July 2006 · 3 yrs 5 mos
State Registrations27 states
AZCACOCTDCFLGAILINMAMDMEMINCNHNJNVNYOHPARISCTNTXVAVTWA
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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