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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

David Cook

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Tacoma, WA

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Search this name across graphsid dfx:ria:0bc524a9-3d95-3231-8de1-4b366f5d71ee

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Jan 11, 2012 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: Jan 10, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jan 10, 2012
First registration: Jan 11, 2012
Dual registered: yes, broker-dealer
Other names: David BRADLEY Cook|DAVID B COOK|David Cook
IAPD individual key: 5948167

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	Jan 13, 2021	n/a	yes	Tacoma, WA\|Tacoma, WA	Current employment
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	May 17, 2019	Jan 14, 2021	no	Tacoma, WA\|SEATTLE, WA	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	May 17, 2019	Jan 14, 2021	no	TACOMA, WA\|Seattle, WA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Apr 27, 2016	May 16, 2019	no	TUKWILA, WA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 9, 2015	Dec 4, 2015	no	BONNEY LAKE, WA	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Nov 19, 2012	Sep 12, 2014	no	PORTLAND, OR\|BELLEVUE, WA	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Nov 19, 2012	Sep 12, 2014	no	Portland, OR\|Bellevue, WA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 11, 2012	Nov 16, 2012	no	SCOTTSDALE, AZ\|KENT, WA\|SCOTTSDALE, AZ\|SCOTTSDALE, AZ\|FEDERAL WAY, WA\|NEW YORK, NY	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
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jan 14, 2021	May 17, 2019	-608	Firm change after gap	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Jan 14, 2021	May 17, 2019	-608	Channel change	Other
LPL FINANCIAL LLC	TD AMERITRADE, INC.	May 16, 2019	May 17, 2019	1	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	LPL FINANCIAL LLC	Dec 4, 2015	Apr 27, 2016	145	Firm change	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Sep 12, 2014	Nov 19, 2012	-662	Firm change after gap	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Sep 12, 2014	Nov 19, 2012	-662	Channel change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	TD AMERITRADE, INC.	Nov 16, 2012	Nov 19, 2012	3	Firm change	Wirehouse to new firm

Relationships

Registered with (5)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Jan 13, 2021 to presentfactForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
May 17, 2019 to Jan 14, 2021factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
May 17, 2019 to Jan 14, 2021factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Apr 27, 2016 to May 16, 2019factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 9, 2015 to Dec 4, 2015factForm ADV

Dated events

No dated event names this entity yet.