Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Vincent Buatti is an Ameriprise Financial Services, LLC registered representative with over 30 years of experience in the financial services industry. James has held previous roles at Ameriprise Advisor Services, Inc., UBS Financial Services Inc., Dean Witter Reynolds Inc. and F.J. Garber & Co. James is licensed to provide financial advice and investment services in several states including California, Arizona, Colorado, Florida, Hawaii, Idaho, Kansas, Maine, Maryland, Massachusetts, Montana, Nevada, New York, Oregon, South Carolina, Texas, Utah, Virginia, Washington and Wisconsin. James holds a Series 7, Series 31, Series 63, and Series 65 securities license.
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
NV
07/06/2018 - Present
Ameriprise Financial Services, LLC (Carson City NV)
CA
02/14/2007 - 10/05/2009
AMERIPRISE ADVISOR SERVICES, INC. (SAN FRANCISCO CA)
CA
10/02/1998 - 03/01/2007
UBS FINANCIAL SERVICES INC. (SAN MATEO CA)
NY
12/19/1992 - 10/16/1998
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
07/07/1992 - 12/08/1992
F.J. GARBER & CO.
IA
Issued 06/19/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/17/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/02/2012
Series 31 - Futures Managed Funds Examination
BC
Issued 07/01/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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