James Robert Carey

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
UT	RA	APPROVED	2017-06-15

UT RA
APPROVED

Since 2017-06-15

Branch Locations

13 Branch St Ste 208A, Methuen, MA 01844 • United States

North Reading, MA • 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.	North Reading	MA	09/2005	03/2020
Ameriprise Financial Services, Llc	North Reading	MA	03/2020	Present

09/2005 → 03/2020

Ameriprise Financial Services, Inc.

North Reading, MA
03/2020 → Present

Ameriprise Financial Services, Llc

North Reading, MA

Other Businesses

Business Ownership; OC&C, Inc.; ; Financial Planning Practice; 350 Park St., Suite 205North Reading, MA 01864, ,; ; ; 60 hours per month; . Outside Employment; OC&C, INC; Co-Owner - Co-Owner; ; 350 Park Street Suite 108, , North Reading, MA, 1864; Investment-Related; 01/01/2005; 1 to 9 hours per month; 0 during trading hours.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1992-06-05

S63 Uniform Securities Agent State Law Examination

1992-06-05

Designations

Certified Financial Planner

View on SEC IAPD