Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Leon Stein is a financial advisor registered with Ameriprise Financial Services, LLC. James has been in the industry since 1981 and has a strong track record of providing financial advice to individuals, families, and businesses. James specializes in a variety of services, including financial planning, retirement planning, college savings, investment management, and insurance. James is committed to providing personalized service and helping clients achieve their financial goals.
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
08/19/2024 - Present
Ameriprise Financial Services, LLC (SADDLE BROOK NJ)
NJ
01/01/2008 - 03/11/2024
WELLS FARGO CLEARING SERVICES, LLC (MOUNTAIN LAKES NJ)
NJ
08/23/2006 - 01/03/2008
A. G. EDWARDS & SONS, INC. (FAIRFIELD NJ)
NJ
01/22/2004 - 08/25/2006
B.B. GRAHAM & COMPANY, INC. (RAMSEY NJ)
NJ
06/01/2001 - 01/30/2004
MILLENNIUM BROKERAGE, L.L.C. (CHATHAM NJ)
NY
01/03/1989 - 06/26/2001
STEIN ABBOTT AND COMPANY INC. (YONKERS NY)
NJ
03/29/1996 - 08/12/1996
DINA SECURITIES, INC. (WAYNE NJ)
NA
12/15/1987 - 01/03/1989
STEIN ABBOTT AND COMPANY
NA
12/22/1986 - 12/03/1987
LADENBURG, THALMANN & CO., INC.
NA
09/26/1985 - 03/10/1987
LAIDLAW ADAMS & PECK INC.
NA
06/24/1983 - 11/14/1985
BROADCHILD SECURITIES CORP.
NA
06/02/1983 - 07/08/1983
E.C. FARNSWORTH & COMPANY, INC.
NA
03/18/1982 - 03/11/1983
ANFS, INC.
NA
03/11/1981 - 03/11/1983
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
IA
Issued 10/06/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/09/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/25/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/18/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/12/1988
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/29/1988
Series 24 - General Securities Principal Examination
BC
Issued 03/01/2024
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/20/1981
Series 7 - General Securities Representative Examination
BC
Issued 03/09/1981
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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