Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames William Bravos is a registered representative with Ameriprise Financial Services, LLC in San Jose, CA. James has been in the financial services industry since 1977. James has been registered with the SEC since 1993. Prior to joining Ameriprise, James was affiliated with Western International Securities, Inc. and UBS Financial Services Inc. James specializes in retirement planning, estate planning, college savings, and insurance. James is dedicated to providing personalized financial advice to help 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
CA
12/11/2023 - Present
Ameriprise Financial Services, LLC (San Jose CA)
CA
01/22/2008 - 12/13/2023
WESTERN INTERNATIONAL SECURITIES, INC. (Campbell CA)
CA
08/12/2006 - 01/29/2008
UBS FINANCIAL SERVICES INC. (SACRAMENTO CA)
CA
04/16/2002 - 08/12/2006
PIPER JAFFRAY & CO. (SACRAMENTO CA)
CA
08/24/1999 - 01/24/2002
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
NY
07/31/1993 - 09/01/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
06/02/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
08/24/1983 - 06/01/1993
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
05/06/1983 - 08/29/1983
BIRR, WILSON & CO., INC.
NA
01/31/1980 - 05/04/1983
PAINE, WEBBER, JACKSON & CURTIS INC.
NA
08/25/1978 - 01/31/1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
NA
07/26/1977 - 08/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BOTH
Issued 04/10/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/22/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/12/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/12/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/16/1977
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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