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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Arlin Mumaw is a financial advisor with Ameriprise Financial Services, LLC, where James has been employed since March 2020. James holds several licenses and registrations including Series 66, Series 9, Series 10 and Series 24. James has been in the financial industry since June 24, 2001, and is licensed in 28 states. Ameriprise Financial Services, LLC, with its main office in Minneapolis, Minnesota, has over 13,000 registered representatives and manages more than $479 billion in assets. The firm provides a variety of investment advisory services including financial planning, pension consulting, portfolio management for individuals and businesses, and educational seminars.
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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VA
07/18/2001 - Present
Ameriprise Financial Services, LLC (HARRISONBURG VA)
MN
06/25/2001 - 07/03/2006
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 07/13/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/29/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/12/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/01/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/22/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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