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CFP
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CFP

James Stein

Ameriprise Financial Services, LLC
45 Years of Experience
Saddle Brook, NJ
1 DisclosureBroker
View SEC Summary
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James Stein is a CFP-designated registered investment advisor at Ameriprise Financial Services, LLC, based in Saddle Brook, NJ, with 45 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

250 Pehle Ave Ste 500, Park 80 West, Plaza Two, Saddle Brook, NJ, 07663

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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
September 2019
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Ameriprise Financial Services, LLC
March 2024 - Present · 2 yrs 7 mos
Ameriprise Financial Services, LLC
March 2024 - Present · 2 yrs 7 mos
Ameriprise Financial Services, LLCBroker
March 2024 - Present · 2 yrs 7 mos
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
January 2008 - March 2024 · 16 yrs 2 mos
Wells Fargo Clearing Services, LLC
January 2008 - March 2024 · 16 yrs 2 mos
A. G. Edwards & Sons, INC.
October 2006 - January 2008 · 1 yr 3 mos
A. G. Edwards & Sons, INC.Broker
August 2006 - January 2008 · 1 yr 5 mos
B.B. Graham & Company, INC.Broker
January 2004 - August 2006 · 2 yrs 7 mos
Millennium Brokerage, L.L.C.Broker
June 2001 - January 2004 · 2 yrs 7 mos
Dina Securities, INC.Broker
March 1996 - August 1996 · 5 mos
Stein Abbott and Company INC.Broker
January 1989 - June 2001 · 12 yrs 5 mos
Stein Abbott and CompanyBroker
December 1987 - January 1989 · 1 yr 1 mo
Ladenburg, Thalmann & CO., INC.Broker
December 1986 - December 1987 · 1 yr
Laidlaw Adams & Peck INC.Broker
September 1985 - March 1987 · 1 yr 6 mos
Broadchild Securities CORP.Broker
June 1983 - November 1985 · 2 yrs 5 mos
E.C. Farnsworth & Company, INC.Broker
June 1983 - July 1983 · 1 mo
Anfs, INC.Broker
March 1982 - March 1983 · 1 yr
Anchor National Financial Services, INC.Broker
March 1981 - March 1983 · 2 yrs
State Registrations15 states
AZCTDEFLKSMAMENCNHNJNYPASCTNTX
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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