Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Joon Cha is a financial advisor with Ameriprise Financial Services, LLC. James has been in the financial services industry since 1998. James has worked for several other firms, including A. G. EDWARDS & SONS, INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, and SMITH BARNEY INC. James holds the Series 31, 7, and 66 licenses. James is also a Certified Financial Planner.
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
NJ
08/17/2023 - Present
Ameriprise Financial Services, LLC (SADDLE BROOK NJ)
NJ
01/01/2008 - 07/25/2018
WELLS FARGO CLEARING SERVICES, LLC (PARAMUS NJ)
NJ
05/05/2004 - 01/03/2008
A. G. EDWARDS & SONS, INC. (ORADELL NJ)
NY
08/13/1999 - 04/13/2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
08/18/1994 - 11/10/1995
SMITH BARNEY INC. (NEW YORK NY)
BOTH
Issued 08/23/1999
Series 66 - Uniform Combined State Law Examination
IA
Issued 09/15/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/15/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/31/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 08/13/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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