James StephanCRD Number: 1278688
Current Firm: Ameriprise Financial Services, Inc.
James Stephan (CRD# 1278688) is an Investment Advisor Representative working at Ameriprise Financial Services, Inc. in Rochester, MN and has over 32 years of experience in the finance industry.
Waddell & Reed
Cetera Advisor Networks LLC
Commonwealth Financial Network
|Ameriprise Financial Services Inc.||Rochester, MN||Jun 2015 - Current||1|
|Jim Stephan And Tom Stephan||Rochester, MN||Nov 2008 - Jun 2015||6|
|State Of Minnesota Continuing Education Instructor||Rochester, MN||Sep 2006 - Jun 2015||8|
|Securities America, Inc.||Rochester, MN||May 2004 - Jun 2015||11|
|Securities America Advisors, Inc.||Rochester, MN||May 2004 - Jun 2015||11|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 1984|
|S65||NASAA Investment Advisors Law Examination||Jul 1999|
Total Assets Under Management178,060MILLIONS
Total Number of Accounts1,085,445ACCOUNTS
Average Account Value$164,044
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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
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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