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

Sep 1, 2016earliest registration or exam on IAPD

Years in industry

10derivedfrom the industry start date

Years at current firm

1derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

2

Exams

S63|S65

First exam

Dec 23, 2019

First registration

Aug 18, 2020

Dual registered

yes, broker-dealer

Other names

Carlos J Tovar|Carlos Javier Tovar|Carlos J. Tovar

IAPD individual key

6812885

• Occurred

  Jan 22, 2025
  Advisor changed firm

  Carlos Javier Tovar left J.P. Morgan Securities Llc for Ameriprise Financial Services, Llc (registered 2025-08-01)

  Form ADVobserved 5 days ago
• Occurred

  Jun 28, 2023
  Advisor changed firm

  Carlos Javier Tovar left Gwn Securities Inc. for J.P. Morgan Securities Llc (registered 2023-07-11)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:0834d59b-4f96-80a6-efe2-ba648958a3bd

First observed

Aug 18, 2020

Last observed

Sep 14, 2026 6 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.