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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 Joseph Obrien is a financial advisor with Ameriprise Financial Services, LLC. James is a registered representative and investment advisor representative in the state of Colorado. James has been in the financial services industry since 1981. James has a strong background in investments and financial planning. James's specializations include retirement planning, college savings, estate planning, and insurance.
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
CO
12/11/2018 - Present
Ameriprise Financial Services, LLC (DENVER CO)
CO
05/26/1999 - 07/25/2016
CETERA ADVISORS LLC (HIGHLANDS RANCH CO)
CO
09/29/1989 - 04/30/1999
D.E. FREY & COMPANY, INC. (DENVER CO)
NY
02/16/1988 - 10/25/1989
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
09/29/1981 - 03/04/1988
E. F. HUTTON & COMPANY INC
NA
03/06/1981 - 02/02/1982
IDS LIFE INSURANCE COMPANY
NA
03/06/1981 - 02/02/1982
INVESTORS DIVERSIFIED SERVICES, INC.
NA
03/06/1981 - 10/10/1981
IDS MARKETING CORPORATION
IA
Issued 04/06/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/06/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/01/2003
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 05/07/1990
Series 4 - Registered Options Principal Examination
BC
Issued 10/23/1989
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/05/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 09/23/1988
Series 3 - National Commodity Futures Examination
BC
Issued 01/15/1983
Series 7 - General Securities Representative Examination
BC
Issued 10/26/1981
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 03/04/1981
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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