James Robert Frash

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:

Current Employers

Ameriprise Financial Services, Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-16
FL	RA	APPROVED	2017-09-06
TX	RA	APPROVED_RES	2006-10-04

NY RA
APPROVED

Since 2021-04-16
FL RA
APPROVED

Since 2017-09-06
TX RA
APPROVED_RES

Since 2006-10-04

Branch Locations

7672 Oswego Rd, Liverpool, NY 13090 • United States

Bonita Springs, FL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Dewitt	NY	04/2000	03/2020
Ameriprise Financial Services, Llc	Dewitt	NY	03/2020	Present

04/2000 → 03/2020

Ameriprise Financial Services, Inc.

Dewitt, NY
03/2020 → Present

Ameriprise Financial Services, Llc

Dewitt, NY

Other Businesses

Real Estate Ownership; Commercial; 7672 Oswego Rd, , Liverpool, NY, 13090; Investment-Related; 01/01/2013 / Lot/Land; Stand/Lot 47 & 48, Twin Valley Nature Estate, Kabeljouws, Jeffrey's Bay, Eastern Cape, , ZAF; Not Investment-Related; 11/15/2024. Business Ownership; Gratima CC; 50% Owner; Tourism; South Africa, , South Africa, NY, 6229; Not Investment-Related; 12/20/2021; 1 to 9 hours per month; 0 during trading hours / JRF Properties, LLC; Owner; LLC, that owns building for my Ameriprise Franchise.; 16310 Bonita Landing Cir, , Bonita Springs, FL, 34135; Not Investment-Related; 12/01/2009; 10 to 19 hours per month; 1 to 9 during trading hours.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2000-05-13

S66 Uniform Combined State Law Examination

2000-05-13

Designations

Chartered Financial Consultant

View on SEC IAPD