Stifel, Nicolaus & Company
47yrs
Top 1% by experience in Houston
8yrs
James Serrano
Financial advisor at Ameriprise Financial Services
Based in Houston, Texas, James Serrano is a fiduciary financial advisor with 8 years of industry experience. James joined Ameriprise Financial Services in 2026, after three years at Modera Wealth Management and a year at AN Exceptional Life Financial. James holds the CFP® designation.
One of 4968 advisors with offices in Houston, and one of 4448 fiduciaries.
At a glance
Experience8 years (since 2019)
How that compares ?8 years in the industry
Office11 Greenway Plaza Suite 3000, Houston, TX 77046
How the firm is paid ?Percent of assets, Hourly, Flat fee
Typical client at the firm ?$471,167
Advisors at the firm12,970
States licensed ?1 state
Services through Ameriprise Financial Services
Financial planningInvestment management for individuals and small businessesInvestment management for businesses and institutionsRetirement plan consultingChoosing other investment managersNewsletters and publicationsEducational seminars and workshopsOther services
Specialties, designations like CFP®, and languages spoken appear here when advisors claim their profiles.
Designations
CFP®
Licenses
Exams passed, from the official record. Tap a license to see what it allows.
Career
- Aug 2026 – nowAmeriprise Financial Services, LLCCurrent firm
- 2023 – 2026Modera Wealth Management, LLCPreviously
- Sep 2022 – Aug 2023AN Exceptional Life Financial, LLCPreviously
- Mar 2019 – Dec 2020Charles Schwab & CO., Inc.Previously
Questions to ask James
Tailored to James’s registration and firm.
- At a firm this size, will I work with you directly or with a service team?
- What does a financial plan with you include, and how often is it updated?
- If you use outside managers, how are they chosen and what do they cost on top of your fee?
- Where would my money be held, and will I get statements directly from that firm?
- What would I pay in total each year, in dollars, including fund and trading costs?
My notes and scorecard
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About James
How do I contact James?
Call Ameriprise Financial Services at 612-671-3131 and ask for James Serrano. James works from the Houston, TX office.
How long has James been a financial advisor?
James has been in the industry since 2019, about 8 years. 8 years in the industry.
What licenses does James hold?
Series 63, Series 66. Tap any license on this page to see what it allows.
Is James a fiduciary?
James is registered as an investment advisor representative, which carries a fiduciary duty when giving investment advice.
How is James paid?
Ameriprise Financial Services reports being paid by a percentage of the assets they manage, hourly fees, flat or fixed fees. Ask James for your total yearly cost in dollars.
Official record as of October 3, 2026.
This profile is for information only and is not financial advice or a recommendation.
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