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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
AR RA APPROVED 2026-04-08
MS RA APPROVED 2026-04-06
NE RA APPROVED 2026-04-06
OK RA APPROVED 2026-04-06
WA RA APPROVED 2026-04-06
RI RA APPROVED 2026-04-02
VA RA APPROVED 2026-04-02
AL RA APPROVED 2026-04-01
DE RA APPROVED 2026-04-01
NV RA APPROVED 2026-04-01
MN RA APPROVED 2013-12-17
  • AR RA
    APPROVED
    Since 2026-04-08
  • MS RA
    APPROVED
    Since 2026-04-06
  • NE RA
    APPROVED
    Since 2026-04-06
  • OK RA
    APPROVED
    Since 2026-04-06
  • WA RA
    APPROVED
    Since 2026-04-06
  • RI RA
    APPROVED
    Since 2026-04-02
  • VA RA
    APPROVED
    Since 2026-04-02
  • AL RA
    APPROVED
    Since 2026-04-01
  • DE RA
    APPROVED
    Since 2026-04-01
  • NV RA
    APPROVED
    Since 2026-04-01
  • MN RA
    APPROVED
    Since 2013-12-17

Branch Locations

901 3Rd Ave S, Minneapolis, MN 55402 • United States

Burnsville, MN • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Minneaplois MN 06/2010 03/2020
Ameriprise Financial Services, Llc Minneapolis MN 03/2020 Present
Previous Registrations
Other Businesses

Name of Activity: Election Judge; Date Activity Started/Modified/Ended: 7/8/2020; Type of Activity: Other - Election Official; Role/Relationship: Employee; Responsibilities: Work as needed at poling locations during elections.; Income Per Year: UNDER $10,000; Total Hours Per Month: 0 - 20; Total Hours Per Month During Trading Hours: 0 - 20; Does this activity include providing investment advice, conducting securities trading or managing the assets of others? No; --- END ---

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-08-01
S63 Uniform Securities Agent State Law Examination 2005-05-26
  • S65 Uniform Investment Adviser Law Examination
    2007-08-01
  • S63 Uniform Securities Agent State Law Examination
    2005-05-26
Other Names
  • James Swirtz
  • James R Swirtz
  • James Richard Swirtz

View on SEC IAPD

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