Best Investors Account Sign in

James Allen Sams

Ameriprise Financial Services, LLC

Newport Beach, CA

San Francisco, CA

Aliso Viejo, CA

Claim This Profile
Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2015-05-11
  • CA RA
    APPROVED
    Since 2015-05-11

Branch Locations

660 Newport Center Dr Ste 800, Newport Beach, CA 92660 • United States

44 Montgomery St Ste 3100, San Francisco, CA 94104 • United States

Aliso Viejo, 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. San Francisco CA 05/2015 03/2020
Ameriprise Financial Services, Llc Irvine CA 03/2020 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-11-17
S63 Uniform Securities Agent State Law Examination 2008-07-12
  • S66 Uniform Combined State Law Examination
    2009-11-17
  • S63 Uniform Securities Agent State Law Examination
    2008-07-12
Designations

View on SEC IAPD

Other Firms

OKAPI CAPITAL, LLC
OCVC, LLC
MIG CAPITAL, LLC
RESEARCH AFFILIATES
PAAMCO PRISMA, LLC
COMPOSITION WEALTH, LLC
J.P. MORGAN SECURITIES LLC
MARINER

Other Investors

WILLIAM ERIC BLANTON
Travis L. Shirley
Michael Schanna
Rebekah A. Beekie
WILLIAM BENJAMIN SHAPIRO
Austin Mascorro
Bruce Lyle
Philip Pluta

Other Offices

OKAPI CAPITAL, LLC · NEWPORT BEACH, CA
OCVC, LLC · NEWPORT BEACH, CA
MIG CAPITAL, LLC · NEWPORT BEACH, CA
RESEARCH AFFILIATES · NEWPORT BEACH, CA
PAAMCO PRISMA, LLC · NEWPORT BEACH, CA
COMPOSITION WEALTH, LLC · Newport Beach, CA
J.P. MORGAN SECURITIES LLC · NEWPORT BEACH, CA
J.P. MORGAN SECURITIES LLC · Newport Beach, CA

More in Newport Beach, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor