James E. Westbrook
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Edwin Westbrook was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2012 - January 12, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
December 14, 2012 - January 12, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
December 9, 2011 - January 3, 2013
INTL ADVISORY CONSULTANTS INC.
December 9, 2011 - December 17, 2012
STERNE, AGEE & LEACH, INC.
February 21, 2007 - December 9, 2011
ANDERSON & STRUDWICK, INCORPORATED
February 21, 2007 - December 9, 2011
ANDERSON & STRUDWICK, INCORPORATED
August 2, 2001 - February 21, 2007
WELLS FARGO CLEARING SERVICES, LLC
July 12, 2001 - February 21, 2007
WELLS FARGO CLEARING SERVICES, LLC
May 5, 1999 - July 5, 2001
SCOTT & STRINGFELLOW, LLC
August 26, 1994 - May 5, 1999
SCOTT & STRINGFELLOW, INC.
October 20, 1992 - September 10, 1994
FERGUSON, ANDREWS & ASSOCIATES, INC.
March 7, 1990 - October 27, 1992
DOMINION INVESTMENT BANKING, INC.
August 19, 1985 - March 1, 1990
SCOTT & STRINGFELLOW, INC.
September 26, 1981 - August 26, 1985
FIRST UNION CAPITAL MARKETS CORP.
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
