James Swirtz
James Swirtz is a registered investment advisor at Ameriprise Financial Services, LLC, based in Minneapolis, MN, with 20 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
901 3rd Ave S, Minneapolis, MN, 55402
Get directionsHistory
Regulatory History (2)
Judgment / Lien
July 2013Judgment / Lien
January 2008Other Business Activities
James works as an election judge as needed at polling locations during elections since 2020. This activity earns him under $10,000 per year and requires about 10-20% of his time.
Employment History
Current Registrations
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLCBroker
Ameriprise Financial Services, LLC
Previous Registrations
Ameriprise Financial Services, INC.
Machtig Advisory Services, LLC
Investors Capital Advisory
Investors Capital CORP.Broker
Edward JonesBroker
State Registrations5 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.