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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)32 years in industry

JAMES JOON CHA

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

SADDLE BROOK, NJ | Elmwood Park, NJ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:16c6c5cb-aa2e-7c8d-9cc5-07ef3ca47c35

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 23, 2001 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: AMERIPRISE FINANCIAL SERVICES, LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 15, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S66|S65
First exam: Sep 15, 1994
First registration: Jan 23, 2001
Dual registered: yes, broker-dealer
Other names: JOON SANG CHA|James Cha
IAPD individual key: 2438370

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jul 25, 2018	n/a	yes	SADDLE BROOK, NJ\|Elmwood Park, NJ	Current employment
WELLS FARGO ADVISORS	Wirehouse	Jan 1, 2008	Jul 25, 2018	no	PARAMUS, NJ\|ORADELL, NJ	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	May 5, 2004	Jan 1, 2008	no	ORADELL, NJ\|ORADELL, NJ\|ST. LOUIS, MO	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 23, 2001	Apr 13, 2004	no	PARAMUS, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLS FARGO ADVISORS	AMERIPRISE FINANCIAL SERVICES, LLC	Jul 25, 2018	Jul 25, 2018	0	Firm change	Wirehouse to ibd
A. G. EDWARDS & SONS, INC.	WELLS FARGO ADVISORS	Jan 1, 2008	Jan 1, 2008	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	A. G. EDWARDS & SONS, INC.	Apr 13, 2004	May 5, 2004	22	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
19616:6363:NJ:2018-07-25	Jul 25, 2018	Jul 25, 2018	ORADELL, NJ	Firm change

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Jul 25, 2018 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 1, 2008 to Jul 25, 2018factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
May 5, 2004 to Jan 1, 2008factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jan 23, 2001 to Apr 13, 2004factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:16c6c5cb-aa2e-7c8d-9cc5-07ef3ca47c35
First observed: Jan 23, 2001
Last observed: Sep 15, 2026 4 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

JAMES JOON CHA

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

SADDLE BROOK, NJ | Elmwood Park, NJ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:16c6c5cb-aa2e-7c8d-9cc5-07ef3ca47c35

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:10 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

AMERIPRISE FINANCIAL SERVICES, LLC

National bd RIA

Jul 25, 2018

n/a

yes

SADDLE BROOK, NJ|Elmwood Park, NJ

Current employment

WELLS FARGO ADVISORS

Wirehouse

Jan 1, 2008

Jul 25, 2018

PARAMUS, NJ|ORADELL, NJ

Previous registration

A. G. EDWARDS & SONS, INC.

n/a

May 5, 2004

Jan 1, 2008

ORADELL, NJ|ORADELL, NJ|ST. LOUIS, MO

Previous registration

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

Jan 23, 2001

Apr 13, 2004

PARAMUS, NJ

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

WELLS FARGO ADVISORS

AMERIPRISE FINANCIAL SERVICES, LLC

Jul 25, 2018

Firm change

Wirehouse to ibd

A. G. EDWARDS & SONS, INC.

WELLS FARGO ADVISORS

Jan 1, 2008

Bulk transfer

Other

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

A. G. EDWARDS & SONS, INC.

Apr 13, 2004

May 5, 2004

Firm change

Other

Team

Left

Joined

From

Kind

19616:6363:NJ:2018-07-25

Jul 25, 2018

ORADELL, NJ

Firm change