James Westbrook, financial advisor Richmond VA
83 score

James Westbrook

CRD Number: 1003735
Current Firm: Ameriprise Financial Services, Inc.

James Westbrook (CRD# 1003735) is an Investment Advisor Representative working at Ameriprise Financial Services, Inc. in Richmond, VA and has over 35 years of experience in the finance industry.

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Company Name Location Dates Years
Ameriprise Financial Services Inc. Richmond, VA Dec 2012 - Current 4
Sterne, Agee & Leach, Inc. Richmond, VA Dec 2011 - Dec 2012 1
Sterne Agee Investment Advisors, Inc. Birmingham, AL Dec 2011 - Dec 2012 1
Anderson & Strudwick, Inc. Richmond, VA Feb 2007 - Dec 2011 4
Wachovia Securities, LLC Richmond, VA Jun 2003 - Feb 2007 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1981
S65 NASAA Investment Advisors Law Examination Oct 1993
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for James E. Westbrook
Phone Number: 612-671-3131
Registered State(s):
  • VA
By the Numbers
  • Total Assets Under Management
    178,060
    MILLIONS
  • Total Number of Accounts
    1,085,445
    ACCOUNTS
  • Average Account Value
    $164,044
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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