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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

James Swirtz

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

MINNEAPOLIS, MN | Burnsville, MN

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:86d17889-7bec-ee9d-fa14-300cfec44874

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 6, 2007 to Sep 14, 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: May 26, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 11
Exams: S63|S65
First exam: May 26, 2005
First registration: Aug 6, 2007
Dual registered: yes, broker-dealer
Other names: JAMES SWIRTZ|JAMES R SWIRTZ|JAMES RICHARD SWIRTZ
IAPD individual key: 4934995

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	Dec 17, 2013	n/a	yes	MINNEAPOLIS, MN\|Burnsville, MN	Current employment
THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC	Former SEC adviser	Oct 20, 2008	Jan 25, 2011	no	BLOOMINGTON, MN	Previous registration
INVESTORS CAPITAL ADVISORY	Former SEC adviser	Aug 6, 2007	Jun 1, 2010	no	TUSTIN, CA\|TULSA, OK\|BLOOMINGTON, MN	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
THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Jan 25, 2011	Dec 17, 2013	1,057	Firm change after gap	Other
INVESTORS CAPITAL ADVISORY	THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC	Jun 1, 2010	Oct 20, 2008	-589	Firm change after gap	Other

Relationships

Registered with (3)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Dec 17, 2013 to presentfactForm ADV
→ THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Oct 20, 2008 to Jan 25, 2011factForm ADV
→ INVESTORS CAPITAL ADVISORYRegistered adviserregistration: previous registration
Aug 6, 2007 to Jun 1, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:86d17889-7bec-ee9d-fa14-300cfec44874
First observed: Aug 6, 2007
Last observed: Sep 14, 2026 5 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 Swirtz

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

MINNEAPOLIS, MN | Burnsville, MN

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:86d17889-7bec-ee9d-fa14-300cfec44874

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:06 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

AMERIPRISE FINANCIAL SERVICES, LLC

National bd RIA

Dec 17, 2013

n/a

yes

MINNEAPOLIS, MN|Burnsville, MN

Current employment

THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC

Former SEC adviser

Oct 20, 2008

Jan 25, 2011

BLOOMINGTON, MN

Previous registration

INVESTORS CAPITAL ADVISORY

Former SEC adviser

Aug 6, 2007

Jun 1, 2010

TUSTIN, CA|TULSA, OK|BLOOMINGTON, MN

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Jan 25, 2011

Dec 17, 2013

1,057

Firm change after gap

Other

INVESTORS CAPITAL ADVISORY

THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC

Jun 1, 2010

Oct 20, 2008

-589

Firm change after gap

Other