James TuberosaCRD Number: 1277676
Current Firm: Ameriprise Financial Services, Inc.
James Tuberosa (CRD# 1277676) is an Investment Advisor Representative working at Ameriprise Financial Services, Inc. in Sun City Center, FL and has over 32 years of experience in the finance industry.
Gavin Management Group, Inc.
The Financial Well, Inc.
Gator Capital Management, LLC
|Ameriprise Financial Services, Inc.||Sun City Center, FL||Oct 2009 - Current||7|
|H&r Block Financial Advisors, Inc.||Sun City, FL||Nov 2004 - Current||12|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1984|
|S65||NASAA Investment Advisors Law Examination||Aug 2007|
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:
- Employer Dispute
- Customer Dispute
- Regulatory Event
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