Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Guthrie is a financial advisor with Ameriprise Financial Services, LLC. James has been in the financial services industry since 1995. James holds Series 7, 9, 10, 31, 63, and 65 licenses and has a Certified Financial Planner designation. James specializes in helping individuals and families with their financial planning needs. James is also experienced in providing portfolio management 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.
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WA
09/28/2023 - Present
Ameriprise Financial Services, LLC (Tacoma WA)
WA
06/15/1995 - 10/06/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (TACOMA WA)
IA
Issued 11/21/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/21/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/03/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/30/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/10/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 06/14/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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