James David Unger

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
TX	RA	APPROVED_RES	2018-12-10
OH	RA	APPROVED	1999-09-12

TX RA
APPROVED_RES

Since 2018-12-10
OH RA
APPROVED

Since 1999-09-12

Branch Locations

Plain City, OH • United States

250 W Old Wilson Bridge Rd Ste 150, Worthington, OH 43085 • 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

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Worthington	OH	09/2005	03/2020
Ameriprise Financial Service, Llc	Worthington	OH	02/1984	Present

09/2005 → 03/2020

Ameriprise Financial Services, Inc.

Worthington, OH
02/1984 → Present

Ameriprise Financial Service, Llc

Worthington, OH

Other Businesses

Outside Employment; JEJB LLC; managing book of business and compensated from LLC; Manage advisory business; 12552 Brook Forest Circle, , Pickerington, OH, 43147; Investment-Related; 01/01/2023; 60 hours per month; 60 during trading hours.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1999-03-08

S63 Uniform Securities Agent State Law Examination

1999-03-08

Other Names

James Unger

View on SEC IAPD