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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

ALAIN MAURICE CONNELLY

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

San Diego, CA

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Search this name across graphsid dfx:ria:0bf4ddad-ac9f-92a6-ae50-8c622ffe1c01

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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 2, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Jan 2, 1991
First registration: Jul 8, 1997
Dual registered: yes, broker-dealer
Other names: Alain Maurice Connelly
IAPD individual key: 1956935

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	Feb 28, 2018	n/a	yes	San Diego, CA\|San Diego, CA	Current employment
WELLS FARGO ADVISORS	Wirehouse	Jul 6, 2012	Mar 1, 2018	no	SAN DIEGO, CA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jul 11, 2012	no	San Diego, CA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Aug 29, 2008	Jun 1, 2009	no	SAN DIEGO, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jul 8, 1997	Sep 19, 2008	no	SAN DIEGO, CA\|SAN DIEGO, CA	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
WELLS FARGO ADVISORS	AMERIPRISE FINANCIAL SERVICES, LLC	Mar 1, 2018	Feb 28, 2018	-1	Firm change	Wirehouse to ibd
MORGAN STANLEY	WELLS FARGO ADVISORS	Jul 11, 2012	Jul 6, 2012	-5	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	MORGAN STANLEY & CO. LLC	Sep 19, 2008	Aug 29, 2008	-21	Firm change	Other

Relationships

Registered with (5)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Feb 28, 2018 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 6, 2012 to Mar 1, 2018factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jul 11, 2012factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Aug 29, 2008 to Jun 1, 2009factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jul 8, 1997 to Sep 19, 2008factForm ADV

Dated events

No dated event names this entity yet.