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.

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

Apr 18, 2014earliest registration or exam on IAPD

Years in industry

12derivedfrom the industry start date

Years at current firm

4derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

11

Exams

S65|S63

First exam

Apr 18, 2014

First registration

Oct 8, 2018

Dual registered

yes, broker-dealer

Other names

Warren Drew Mroczek

IAPD individual key

6296728

Graph

RIA / Wealth Management

Canonical id

dfx:ria:01b0e7c9-3eb5-ba1d-6bd9-8917d89def04

First observed

Oct 8, 2018

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.