JR
James F. Reinhardt
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CRD#: 1324204
JR
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 Franklin Reinhardt, who also goes by James Reinhardt, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2002. James had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James Reinhardt
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
**OUTSIDE INSURANCE. 08/01/2014. SALES OF FIXED LIFE, DI, FIXED ANNUITIES, HEALTH, LTC, MEDICAL SUPPLEMENT THROUGH VARIOUS CARRIERS. **REINHARDT CONSULTING GROUP; OWNER - PROVIDE BUSINESS PROCESS IMPROVEMENT AND ORGANIZATIONAL STRUCTURE IMPROVEMENT CONSULTING SERVICES; 08/26/2014. **ST. DAVID'S EPISCOPAL CHURCH POSITION: St. David's Episcopal Church NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/02/2022 ADDRESS: 605 Abbey Dr, Woodstock GA 30188, United States DESCRIPTION: Treasurer of St. David's Episcopal Church (a) To disburse the funds of the Corporation as may be ordered by the Vestry, taking proper vouchers for such disbursements, and shall render to the Vestry at its regular meetings, or whenever the Vestry requires, an account of all transactions as Treasurer and of the financial condition of the Corporation; (b) To make a financial report at the Annual Parish Meeting; (c) To supervise and direct any Assistant Treasurers the Vestry may elect as needed, with the understanding that the Treasurer shall at all times be solely responsible for the duties and obligations of the office; (d) To oversee an annual independent audit to be presented to the Bishop within 30 days from the date of the report as set forth in the Canons of the ECUSA, Title 1, Canon 7, Section 1. (e) To be a member of the Executive and Finance Committees. This position has no authority for investment decisions.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
July 24, 2025 - September 9, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
ALPHARETTA, GA
Past
July 23, 2025 - September 9, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
ALPHARETTA, GA
Past
August 14, 2014 - July 24, 2025
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
Woodstock, GA
Past
July 18, 2014 - July 24, 2025
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
Woodstock, GA
Past
July 13, 2010 - August 14, 2014
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
JOHNS CREEK, GA
Past
July 1, 2010 - August 14, 2014
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
JOHNS CREEK, GA
Past
May 22, 2008 - December 9, 2009
WOODSTOCK FINANCIAL GROUP, INC.
BD
CRD#: 38095
ROSWELL, GA
Past
April 30, 2008 - December 9, 2009
WOODSTOCK FINANCIAL GROUP, INC.
RIA
CRD#: 38095
ROSWELL, GA
Past
November 14, 2005 - January 2, 2008
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
ATLANTA, GA
Past
November 9, 2005 - January 2, 2008
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ATLANTA, GA
Past
June 12, 2003 - October 21, 2005
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
ROSWELL, GA
Past
October 31, 2002 - October 21, 2005
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AMERIPRISE FINANCIAL SERVICES, LLC
AMERICAN EXPRESS FINANCIAL ADVISORS INC. | IDS MARKETING CORPORATION | COMERICA FINANCIAL ADVISORS | AMERIPRISE FINANCIAL SERVICES, LLC. | AMERIPRISE FINANCIAL SERVICES, LLC | AMERIPRISE FINANCIAL SERVICES, INC. | AMERICAN EXPRESS FINANCIAL ADVISORS, INC.
CRD#: 6363 / SEC#: 801-28543, 8-16791
RIA
Registered Investment Advisory firm - SEC (12/5/1986 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AMERIPRISE FINANCIAL SERVICES, LLC
AMERICAN EXPRESS FINANCIAL ADVISORS INC. | IDS MARKETING CORPORATION | COMERICA FINANCIAL ADVISORS | AMERIPRISE FINANCIAL SERVICES, LLC. | AMERIPRISE FINANCIAL SERVICES, LLC | AMERIPRISE FINANCIAL SERVICES, INC. | AMERICAN EXPRESS FINANCIAL ADVISORS, INC.
CRD#: 6363 / SEC#: 801-28543, 8-16791
RIA
Registered Investment Advisory firm - SEC (12/5/1986 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
9013rd Avenue South, Minneapolis, MN 55402
Mailing Address
5221 Ameriprise Financial Center, Minneapolis, MN 55474
Phone number
(612) 671-3131
Established
Delaware since 06/14/1971
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
14,000
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.
