James Raymond Gurman

Current Employers

Ameriprise Financial Services, Llc

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

Current Registrations

Authority	Category	Status	Date
TN	RA	APPROVED	2016-07-07
TX	RA	APPROVED	2016-07-07

TN RA
APPROVED

Since 2016-07-07
TX RA
APPROVED

Since 2016-07-07

Branch Locations

3993 Memorial Blvd, Springfield, TN 37172 • United States

Nashville, TN • 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

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Springfield	TN	06/2016	03/2020
Ameriprise Financial Services, Llc	Springfield	TN	03/2020	Present

06/2016 → 03/2020

Ameriprise Financial Services, Inc.

Springfield, TN
03/2020 → Present

Ameriprise Financial Services, Llc

Springfield, TN

Other Businesses

Real Estate Ownership; Single Family; 11815 Smalley Ave, , Kansas City, MO, 64134; Not Investment-Related; 05/01/2009 / Single Family; 1418 Lillian St, , Nashville, TN, 37206; Not Investment-Related; 12/03/2021. Board of Directors; Catholic Business League; Career Transition Team Leader; 625 Bakers Bridge Ave, Ste 105, , Franklin, TN, 37067; Not Investment-Related; 02/17/2020; 1 to 9 hours per month; 0 during trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2016-06-23
S63	Uniform Securities Agent State Law Examination	2000-06-16

S65 Uniform Investment Adviser Law Examination

2016-06-23
S63 Uniform Securities Agent State Law Examination

2000-06-16