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

Jul 1, 2005earliest registration or exam on IAPD

Years in industry

21derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

1

Exams

S66|S63

First exam

Apr 26, 2019

First registration

Jan 17, 2020

Dual registered

yes, broker-dealer

Other names

KEVIN LEE SHERMAN|KEVIN L SHERMAN|KEVIN SHERMAN

IAPD individual key

6990488

• Occurred

  Nov 6, 2025
  Advisor changed firm

  Kevin Lee Sherman left Lpl Financial Llc for Ameriprise Financial Services, Llc (registered 2025-10-31)

  Form ADVobserved 5 days ago
• Occurred

  Mar 4, 2025
  Advisor changed firm

  Kevin Lee Sherman left Intrua Financial for Lpl Financial Llc (registered 2023-12-15)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:1306b3fb-3198-0526-4451-440b83005dd0

First observed

Jan 17, 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.