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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 Richard Swirtz is a financial advisor with Ameriprise Financial Services, LLC in Minneapolis, MN. James has been working in the financial industry since 2005. James is licensed to provide financial advice in several states, including Minnesota, Arkansas, Massachusetts, Montana and Utah. James is also registered as an Investment Advisor Representative (IAR). James specializes in providing financial planning, portfolio management, and asset allocation services. James has a history of working at Investors Capital Corp. and Edward Jones.
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
MN
12/17/2013 - Present
Ameriprise Financial Services, LLC (MINNEAPOLIS MN)
MN
07/09/2007 - 06/01/2010
INVESTORS CAPITAL CORP. (BLOOMINGTON MN)
MN
05/24/2005 - 07/16/2007
EDWARD JONES (MINNETONKA MN)
IA
Issued 08/01/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/26/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/09/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/31/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/16/2009
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/23/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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