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James Douglas Gray

Ameriprise Financial Services, LLC

Oxnard, CA

Ventura, CA

Santa Paula, CA

CRD 2213326

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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

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-12-23
CA RA APPROVED 1997-12-15
  • TX RA
    APPROVED_RES
    Since 2025-12-23
  • CA RA
    APPROVED
    Since 1997-12-15

Branch Locations

300 Esplanade Dr Ste 1820, Oxnard, CA 93036-0270 • United States

877 S Victoria Ave Ste 211, Ventura, CA 93003 • United States

Santa Paula, 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. Oxnard CA 09/2005 03/2020
Ameriprise Financial Services, Llc Ventura CA 03/2020 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-27
S63 Uniform Securities Agent State Law Examination 1992-08-14
  • S65 Uniform Investment Adviser Law Examination
    1999-12-27
  • S63 Uniform Securities Agent State Law Examination
    1992-08-14

View on SEC IAPD

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