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James M Albanese

Ameriprise Financial Services, LLC

Middleton, MA

Lynnfield, MA

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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-04-30
  • TX RA
    APPROVED
    Since 2021-04-30

Branch Locations

35 Village Rd Ste 500, Middleton, MA 01949 • United States

Lynnfield, MA • 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
Morgan Stanley Smith Barney Boston MA 06/2009 04/2021
Morgan Stanley Private Bank, National Association New York NY 01/2015 04/2021
Ameriprise Financial Services, Llc Middleton MA 04/2021 Present
  • 06/2009 → 04/2021
    Morgan Stanley Smith Barney
    Boston, MA
  • 01/2015 → 04/2021
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 04/2021 → Present
    Ameriprise Financial Services, Llc
    Middleton, MA
Previous Registrations
  • 2014-07-14 → 2021-05-12
    Morgan Stanley
    Boston, MA
    Middleton, MA
  • 2002-12-17 → 2005-02-28
    Morgan Stanley Dw Inc.
    Boston, MA
    Boston, MA
Other Businesses

Real Estate Ownership; condominium; 13240 white marsh lane, , ft. myers, FL, 33914; Not Investment-Related; 09/01/2006.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-03-04
S63 Uniform Securities Agent State Law Examination 1987-12-30
  • S65 Uniform Investment Adviser Law Examination
    2016-03-04
  • S63 Uniform Securities Agent State Law Examination
    1987-12-30
Other Names
  • Jim Albanese
  • James Michael Albanese

View on SEC IAPD

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Other Offices

VITALE & CAPUTO WEALTH MANAGEMENT LLC · MIDDLETON, MA
MORGAN STANLEY · Middleton, MA
PARK AVENUE SECURITIES LLC · MIDDLETON, MA
MWA ASSET MANAGEMENT · DANVERS, MA
HEALTHVIEW ASSET MANAGEMENT, INC. · Danvers, MA
AMERIPRISE FINANCIAL SERVICES, LLC · Danvers, MA
GUARDIAN WEALTH ADVISORS, LLC · DANVERS, MA
STONEHEARTH CAPITAL MANAGEMENT · DANVERS, MA

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