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James Francis Stuart

Ameriprise Financial Services, LLC

Madison, CT

Old Saybrook, CT

Westport, CT

CRD 2291266

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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
AR RA APPROVED 2024-11-21
VA RA APPROVED 2024-11-19
AL RA APPROVED 2024-11-18
DE RA APPROVED 2024-11-18
MS RA APPROVED 2024-11-18
OK RA APPROVED 2024-11-18
RI RA APPROVED 2024-11-18
NE RA APPROVED 2024-11-15
NV RA APPROVED 2024-11-15
WA RA APPROVED 2024-11-15
CT RA APPROVED 2024-06-27
  • AR RA
    APPROVED
    Since 2024-11-21
  • VA RA
    APPROVED
    Since 2024-11-19
  • AL RA
    APPROVED
    Since 2024-11-18
  • DE RA
    APPROVED
    Since 2024-11-18
  • MS RA
    APPROVED
    Since 2024-11-18
  • OK RA
    APPROVED
    Since 2024-11-18
  • RI RA
    APPROVED
    Since 2024-11-18
  • NE RA
    APPROVED
    Since 2024-11-15
  • NV RA
    APPROVED
    Since 2024-11-15
  • WA RA
    APPROVED
    Since 2024-11-15
  • CT RA
    APPROVED
    Since 2024-06-27

Branch Locations

Madison, CT • United States

205 Old Boston Post Rd, Old Saybrook, CT 06475 • United States

10 Wright St Fl 1St, Westport, CT 06880-3115 • 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
Putnam Mutual Funds Corp./Putnam Retail Management Boston MA 03/1997 06/2024
Ameriprise Financial Services Llc Westport CT 06/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-06-05
S63 Uniform Securities Agent State Law Examination 1993-09-01
  • S65 Uniform Investment Adviser Law Examination
    2006-06-05
  • S63 Uniform Securities Agent State Law Examination
    1993-09-01

View on SEC IAPD

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