Best Investors Account Sign in

James William Hayes

Ameriprise Financial Services, LLC

Wilmington, DE

Newark, DE

Linwood, NJ

Claim This Profile
Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2022-06-28
TX RA APPROVED_RES 2006-10-03
PA RA APPROVED 2003-07-02
DE RA APPROVED 1998-01-01
  • NJ RA
    APPROVED
    Since 2022-06-28
  • TX RA
    APPROVED_RES
    Since 2006-10-03
  • PA RA
    APPROVED
    Since 2003-07-02
  • DE RA
    APPROVED
    Since 1998-01-01

Branch Locations

2 Righter Pkwy Ste 201, Wilmington, DE 19803-1529 • United States

200 Continental Dr Ste 200, Newark, DE 19713-4303 • United States

Linwood, NJ • 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. Wilmington DE 09/2005 03/2020
Ameriprise Financial Services, Llc Wilmington DE 03/2020 Present
Other Businesses

Business Ownership; P TWO P LLC; Co-owner; Manage Ameriprise Business; 5195 W. Woodmill Dr., Suite 27, Wilmington, DE, 19808; Investment-Related; 01/22/2016; 60 hours per month; 60 during trading hours. Outside Employment; P TWO P LLC; Co-owner; Manage advisory business; 5195 W. Woodmill Dr., Suite 27, Wilmington, DE, 19808; Investment-Related; 01/22/2016; 60 hours per month; 60 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-03-20
S63 Uniform Securities Agent State Law Examination 1993-10-26
  • S65 Uniform Investment Adviser Law Examination
    1996-03-20
  • S63 Uniform Securities Agent State Law Examination
    1993-10-26
Other Names
  • James W Hayes

View on SEC IAPD

Other Firms

OSAIC WEALTH, INC.
STATE FARM INVESTMENT MANAGEMENT CORP.
KINGSVIEW WEALTH MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
PNC WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES & ASSOCIATES, INC.
WISE FINANCIAL SERVICES LLC

Other Investors

LORI ANN RUTKOWSKI
ROBERT GEORGE ZIEGLER
GERARD PHILLIPPE VIARS
STEPHEN CRAIG MCDERMOTT
BRENT CHRISTOPHER FUCHS
Michelle Keiko Mullinix
ABBY LEIGH PUBUSKY
Sophie Schroyer

Other Offices

OSAIC WEALTH, INC. · WILMINGTON, DE
STATE FARM INVESTMENT MANAGEMENT CORP. · Wilmington, DE
AMERIPRISE FINANCIAL SERVICES, LLC · Wilmington, DE
KINGSVIEW WEALTH MANAGEMENT, LLC · Wilmington, DE
STATE FARM INVESTMENT MANAGEMENT CORP. · Wilmington, DE
WELLS FARGO CLEARING SERVICES, LLC · WILMINGTON, DE
PNC WEALTH MANAGEMENT LLC · WILMINGTON, DE
EDWARD JONES · WILMINGTON, DE

More in Wilmington, DE

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor