James Edward Stefanoff

Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2011 → 03/2020
  Ameriprise Financial Services, Inc.
  Centerville, OH
• 03/2020 → Present
  Ameriprise Financial Services, Llc
  Dayton, OH

Previous Registrations

• 2005-01-03 → 2011-09-30
  Lpl Financial Llc
  Dayton, OH
  Beavercreek, OH
  Centerville, OH
  Englewood, OH
  Fairborn, OH
  Hillsboro, OH
  Hubert Heights, OH
  Kettering, OH
  Lynchburg, OH
  Dayton, OH
  Kettering, OH
  Dayton, OH
  Wilmington, OH
  Dayton, OH
  Dayton, OH
  Dayton, OH
  Wilmington, OH
  Centerville, OH
  Dayton, OH
  Vandalia, OH
  Dayton, OH
  Springboro, OH
  Centerville, OH
• 2002-08-12 → 2004-12-06
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Dayton, OH

Other Businesses

Business Ownership; JES & Co., LLC; ; Creating LLC for the sole purpose of managing my Amerprise practice; 687 Rustic Oak dr, Dayton oh 45415, ,; Not Investment-Related; 02/15/2012; 60 hours per month; 60 during trading hours. Outside Employment; usps; rca - Part time, primarily saturdays doing rural carrier activities for physical fitness purposes; ; 520 N. Hyatt St, , Tipp City, OH, 45371; Not Investment-Related; 02/26/2023; 10 to 19 hours per month; 0 during trading hours.

Exams

• S66 Uniform Combined State Law Examination
  2000-08-04

Other Names

• James Edward Stefanoff