Unclaimed
James Alexander Cunningham is an investment advisor representative with Ameriprise Financial Services, LLC. James is licensed to provide investment advice in Connecticut and 49 other states. James has been in the financial services industry since October 11, 2019, and has experience at UBS Financial Services, Inc. James holds a Series 7TO, Series 3, Series 34, and Series 66 license, and has obtained the Certified Financial Planner designation. James also provides asset allocation services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
CT
11/16/2023 - Present
Ameriprise Financial Services, LLC (Glastonbury CT)
CT
10/12/2019 - 11/29/2023
UBS FINANCIAL SERVICES INC. (NEW LONDON CT)
BOTH
Issued 12/07/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/01/2023
Series 34 - Retail Off-Exchange FOREX Examination
BC
Issued 04/08/2023
Series 3 - National Commodity Futures Examination
BC
Issued 10/12/2019
Series 7TO - General Securities Representative Examination
BC
Issued 08/18/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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