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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-01-06
CA RA APPROVED 2002-03-28
  • TX RA
    APPROVED
    Since 2026-01-06
  • CA RA
    APPROVED
    Since 2002-03-28

Branch Locations

5405 Morehouse Drive Suite 140, San Diego, CA 92121 • United States

San Diego, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. San Diego CA 09/2005 03/2020
Ameriprise Financial Services, Llc San Diego CA 03/2020 Present
Other Businesses

Board of Directors; Nighthawk Recreational Youth Lacrosse; Treasurer; 15667 Paseo Montenero, , San Diego, CA, 92127; Not Investment-Related; 05/12/2025; 1 to 9 hours per month; 0 during trading hours. Other Business Activities; Paid Ice Hockey Coach; Coaching ice hockey for my kids; 12455 Kerran StPoway, CA 92064, ,; Not Investment-Related; 02/08/2019; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-10-11
  • S66 Uniform Combined State Law Examination
    2000-10-11
Other Names
  • James T Schwager
  • James Schwager
  • James Tanne Hill Schwager

View on SEC IAPD

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