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Detailed Report
JAMES A COTTURONE JR
JAMES COTTURONE
CRD#: 5600214
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 300 N Corporate Dr Ste 100
Brookfield, WI 53045
Registration History
20082010201220142016201820202022202420262 FIRMS2018 - Present (7 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2008 - 2018 (9 years)IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2009 - 2018 (9 years)IAWACHOVIA SECURITIES, LLC (CRD# 19616)2008 - 2008 (<1 year)
License(s)

State Registrations

B
Arizona 3/9/2018
B
New York 3/9/2018
B
California 3/9/2018
B
North Carolina 9/13/2019
B
Colorado 10/16/2024
B
Oklahoma 3/9/2018
B
Florida 3/9/2018
B
Oregon 12/2/2021
B
Georgia 1/8/2025
B
Texas 3/9/2018
B
Illinois 3/9/2018
IA
Texas 3/9/2018
B
Indiana 5/27/2022
B
Virginia 4/18/2018
B
Iowa 3/9/2018
B
Washington 4/12/2023
B
Minnesota 3/9/2018
B
Wisconsin 3/9/2018
B
Nebraska 3/9/2018
IA
Wisconsin 3/9/2018
B
Nevada 2/7/2025

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
300 N Corporate Dr Ste 100, Brookfield, WI 53045
Mukwonago, WI
Registered with this firm since 3/9/2018
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
300 N Corporate Dr Ste 100, Brookfield, WI 53045
Mukwonago, WI
Registered with this firm since 3/9/2018
Previous Registration(s)
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IA
 01/23/2009 - 03/12/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) MILWAUKEE, WI
B
 11/10/2008 - 03/12/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) MILWAUKEE, WI
IA
 11/24/2008 - 11/24/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) MILWAUKEE, WI
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.