James Patrick Foley

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
PA	RA	APPROVED	2025-09-02
GA	RA	APPROVED	2019-03-05
TX	RA	APPROVED_RES	2019-03-01

PA RA
APPROVED

Since 2025-09-02
GA RA
APPROVED

Since 2019-03-05
TX RA
APPROVED_RES

Since 2019-03-01

Branch Locations

Mountain Top, PA • United States

1200 Abernathy Rd Ste 1750, Atlanta, GA 30328-5662 • United States

Atlanta, GA • United States

Disclosures

3 disclosure categories 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 Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Atlanta	GA	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Atlanta	GA	11/2016	03/2019
Ameriprise Financialservices, Inc	Atlanta	GA	03/2019	03/2020
Ameriprise Financial Services, Llc	Atlanta	GA	03/2020	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Atlanta, GA
11/2016 → 03/2019

Wells Fargo Clearing Services, Llc

Atlanta, GA
03/2019 → 03/2020

Ameriprise Financialservices, Inc

Atlanta, GA
03/2020 → Present

Ameriprise Financial Services, Llc

Atlanta, GA

Previous Registrations

2008-01-01 → 2019-03-05

Wells Fargo Clearing Services, Llc

Atlanta, GA

Sandy Springs, GA
2003-11-14 → 2008-01-01

A. G. Edwards & Sons, Inc.

Atlanta, GA

Atlanta, GA

St. Louis, MO

Other Businesses

Real Estate Ownership; Single Family; 59 w Hartford stAshley pa 18706, ,; Investment-Related; 02/01/2016 / Commercial; 163 N main stMt. top pa 18707, ,; Investment-Related; 11/01/2018. Business Ownership; Ridgeview LLC; investor; real estate investment; 7640 Brigham DrAtlanta Ga 30350, ,; Investment-Related; 04/01/2018; 0 hours per month; 0 during trading hours / MNL, LLC; Owner; Real Estate; 163 N Main St, , Mountain Top, PA, 18707; Investment-Related; 09/26/2018; 1 to 9 hours per month; 0 during trading hours / Cavanaughs Grille; owner; restaurant; 163 N Main StMt. Top Pa 18707, ,; Investment-Related; 12/01/2018; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Emory University; professor - teach a class; ; Clifton RdAtlanta Ga, ,; Not Investment-Related; 01/01/2005; 1 to 9 hours per month; 0 during trading hours / marist school; coach - coach basketball; ; ashford Dunwoody rdatlanta ga 30319, ,; Not Investment-Related; 10/01/2005; 10 to 19 hours per month; 0 during trading hours.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-10-14
S65	Uniform Investment Adviser Law Examination	1993-08-09
S63	Uniform Securities Agent State Law Examination	1985-10-30

S66 Uniform Combined State Law Examination

2003-10-14
S65 Uniform Investment Adviser Law Examination

1993-08-09
S63 Uniform Securities Agent State Law Examination

1985-10-30

Other Names

Jamesd Patrick Foley

View on SEC IAPD