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

Dec 20, 1979earliest registration or exam on IAPD

Years in industry

46derivedfrom the industry start date

Years at current firm

7derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

2

Exams

S63|S65

First exam

Dec 20, 1979

First registration

Apr 9, 2001

Dual registered

yes, broker-dealer

Other names

RICK P GONGOREK

IAPD individual key

864261

Graph

RIA / Wealth Management

Canonical id

dfx:ria:07c777a5-781c-a2e9-8efc-e37ccc5c7876

First observed

Apr 9, 2001

Last observed

Sep 15, 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.