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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 Kirwan is a financial advisor with Ameriprise Financial Services, LLC. James is a registered representative with FINRA and the Securities and Exchange Commission and holds the following licenses: Series 7, Series 63, Series 5, Series 65, and SIE. James has been in the financial services industry since 1976. James has worked at numerous firms, including Citigroup Global Markets Inc., UBS Financial Services Inc., Wells Fargo Clearing Services, LLC, and Ameriprise Financial Services, LLC. James has a diverse client base that includes high-net-worth individuals, corporations, trusts, estates, and pension plans. James specializes in providing financial planning, investment management, and asset allocation 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.
1
2
CA
10/23/2020 - Present
Ameriprise Financial Services, LLC (San Jose CA)
CA
01/20/2011 - 10/26/2020
WELLS FARGO CLEARING SERVICES, LLC (FOLSOM CA)
CA
11/09/2007 - 01/31/2011
UBS FINANCIAL SERVICES INC. (SAN JOSE CA)
CA
07/31/1993 - 11/20/2007
CITIGROUP GLOBAL MARKETS INC. (SAN JOSE CA)
NY
02/15/1991 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
05/18/1984 - 03/08/1991
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
NA
09/11/1979 - 05/24/1984
SHEARSON LEHMAN/AMERICAN EXPRESS INC.
NA
02/24/1978 - 09/27/1979
DEAN WITTER REYNOLDS INC.
NA
01/02/1976 - 02/24/1978
DEAN WITTER & CO. INCORPORATED
IA
Issued 12/31/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/05/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/17/1981
Series 5 - Interest Rate Options Examination
BC
Issued 02/06/1979
PC - AMEX Put and Call Exam
BC
Issued 12/20/1975
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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