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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 Gurman is a financial advisor with Ameriprise Financial Services, LLC. James has been in the financial services industry since 2003 and has a strong track record of providing sound financial advice to individuals and families. James is dedicated to helping his clients achieve their financial goals and objectives. He is a registered representative in both Tennessee and Texas and holds a Series 6, 7, 63 and 65 license, and the SIE exam. James is committed to staying up-to-date on the latest financial trends and regulations, and he is a valuable resource for his clients. James is also a board member for a career transition team.
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
TN
07/07/2016 - Present
Ameriprise Financial Services, LLC (SPRINGFIELD TN)
MN
10/05/2012 - 05/31/2016
RIVERSOURCE DISTRIBUTORS, INC. (MINNEAPOLIS MN)
TX
08/13/2012 - 09/20/2012
VALIC FINANCIAL ADVISORS, INC. (PLANO TX)
AZ
08/10/2011 - 08/07/2012
BIC DISTRIBUTORS, LLC (PHOENIX AZ)
TN
01/21/2011 - 08/01/2011
CURIAN CLEARING, LLC (FRANKLIN TN)
MN
01/02/2009 - 05/27/2009
RIVERSOURCE FUND DISTRIBUTORS, INC. (MINNEAPOLIS MN)
MN
01/01/2007 - 01/02/2009
RIVERSOURCE DISTRIBUTORS, INC. (MINNEAPOLIS MN)
MN
04/03/2003 - 01/01/2007
AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)
MN
10/06/2003 - 12/31/2006
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
TX
06/05/2000 - 08/23/2001
VAN KAMPEN FUNDS INC. (HOUSTON TX)
IA
Issued 06/23/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/16/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/2000
Series 7 - General Securities Representative Examination
BC
Issued 06/02/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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