Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Allen Sams is a financial advisor with Ameriprise Financial Services, LLC. James has been in the industry since 1993 and holds both Series 7 and Series 66 licenses. James is a Registered Representative and Investment Advisor Representative.
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.
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2
CA
05/11/2015 - Present
Ameriprise Financial Services, LLC (Newport Beach CA)
CA
10/16/2009 - 05/19/2015
MORGAN STANLEY (OAKLAND CA)
CA
03/11/2008 - 10/12/2009
PRECISION SECURITIES, LLC (DEL MAR CA)
CT
03/11/2005 - 12/02/2005
VISION (STAMFORD CT)
CA
07/11/2002 - 11/11/2002
PCS SECURITIES, INC. (SAN DIEGO CA)
CA
02/14/2001 - 04/30/2002
CAPSTONE INVESTMENTS (SAN DIEGO CA)
NJ
04/20/1990 - 05/19/1998
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
10/22/1981 - 02/19/1986
WEDBUSH, NOBLE, COOKE, INC
BOTH
Issued 11/17/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/12/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/22/2002
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/29/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 12/20/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/17/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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