Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames John Obrien is a financial advisor at Ameriprise Financial Services, LLC, with over 26 years of experience in the industry. James has a strong track record of providing financial planning and portfolio management services to individuals, families, and businesses. James holds the Series 7, 9, 10, 63, and 65 licenses. James is registered with the Securities and Exchange Commission (SEC) and holds registrations in 33 states and the District of Columbia.
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
SC
01/20/2017 - Present
Ameriprise Financial Services, LLC (Charleston SC)
SC
06/21/2002 - 01/23/2017
WELLS FARGO CLEARING SERVICES, LLC (CHARLESTON SC)
MO
06/15/2002 - 06/20/2002
WACHOVIA SECURITIES, INC. (ST. LOUIS MO)
NC
04/16/1996 - 06/15/2002
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
IA
Issued 09/19/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/18/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/20/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/12/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/15/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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