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

KRISTEN AMY NIIMI MOURA

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

HONOLULU, HI | Honolulu, HI

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Search this name across graphsid dfx:ria:07500e73-9274-b8b4-501b-c2e24176380f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 2, 2009 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 1, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jan 30, 2007
First registration: Jan 2, 2009
Dual registered: yes, broker-dealer
Other names: KRISTEN AMY NIIMI|KRISTEN AMY NIIMI|Kristen Amy Niimi Moura
IAPD individual key: 5209416

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	Aug 24, 2017	n/a	yes	HONOLULU, HI\|Honolulu, HI	Current employment
OSAIC WEALTH, INC.	Bd affiliated wealth	Mar 15, 2017	Aug 29, 2017	no	HONOLULU, HI	Previous registration
SIGNATOR INVESTORS, INC.	Former SEC adviser	May 13, 2016	Mar 15, 2017	no	HONOLULU, HI\|HONOLULU, HI	Previous registration
TRANSAMERICA FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Sep 4, 2009	May 13, 2016	no	HONOLULU, HI	Previous registration
TRANSAMERICA FINANCIAL ADVISORS, INC.	n/a	Jan 2, 2009	Sep 4, 2009	no	HONOLULU, HI	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
OSAIC WEALTH, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Aug 29, 2017	Aug 24, 2017	-5	Firm change	Other
SIGNATOR INVESTORS, INC.	OSAIC WEALTH, INC.	Mar 15, 2017	Mar 15, 2017	0	Firm change	Other
TRANSAMERICA FINANCIAL ADVISORS, LLC	SIGNATOR INVESTORS, INC.	May 13, 2016	May 13, 2016	0	Bulk transfer	Other
TRANSAMERICA FINANCIAL ADVISORS, INC.	TRANSAMERICA FINANCIAL ADVISORS, LLC	Sep 4, 2009	Sep 4, 2009	0	Bulk transfer	Other

Team moves

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

Team	Left	Joined	From	Kind
468:23131:HI:2017-03-10	Mar 15, 2017	Mar 15, 2017	HONOLULU, HI	Firm change

Relationships

Registered with (5)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Aug 24, 2017 to presentfactForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Mar 15, 2017 to Aug 29, 2017factForm ADV
→ SIGNATOR INVESTORS, INC.Registered adviserregistration: previous registration
May 13, 2016 to Mar 15, 2017factForm ADV
→ TRANSAMERICA FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Sep 4, 2009 to May 13, 2016factForm ADV
→ TRANSAMERICA FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Jan 2, 2009 to Sep 4, 2009factForm ADV

Dated events

No dated event names this entity yet.