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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

Roxana E Solorzano

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Whittier, CA | Monrovia, CA

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Search this name across graphsid dfx:ria:13ee869d-7c7f-2de2-7294-51cf7056744d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 2
On other graphs: 0
Observed: Oct 15, 2001 to Sep 15, 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: Nov 24, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 10
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Nov 24, 1998
First registration: Oct 15, 2001
Dual registered: yes, broker-dealer
Other names: ROXANNA SOLORZANO|ROXANA ESPERANZA SOLORZANO|ROXANA E SOLORZANO
IAPD individual key: 2666880

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	May 31, 2024	n/a	yes	Monrovia, CA\|Whittier, CA	Current employment
URBAN WEALTH MANAGEMENT OR UWM	Independent wealth	Sep 1, 2023	Jun 6, 2024	no	HENDERSON, NV\|PASADENA, CA	Previous registration
ALLSTATE FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Apr 24, 2018	Sep 1, 2023	no	Los Angeles, CA\|Pasadena, CA	Previous registration
EQUANIMITY FINANCIAL PARTNERS	Independent wealth	Dec 8, 2017	Jan 12, 2018	no	PASADENA, CA	Previous registration
LAKE AVENUE FINANCIAL, LLC	n/a	Apr 1, 2016	Jun 27, 2016	no	PASADENA, CA	Previous registration
LAKE AVENUE FINANCIAL, LLC	n/a	Nov 4, 2015	Dec 31, 2015	no	Pasadena, CA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Aug 10, 2009	Jan 24, 2017	no	DIAMOND BAR, CA\|BREA, CA\|SOUTH PASADENA, CA\|PASADENA, CA\|SOUTH PASADENA, CA\|PASADENA, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 2, 2009	May 12, 2009	no	LOS ANGELES, CA\|LOS ANGELES, CA	Previous registration
WAMU INVESTMENTS, INC.	n/a	Dec 16, 2008	May 2, 2009	no	LOS ANGELES, CA\|LOS ANGELES, CA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Feb 10, 2004	Dec 22, 2008	no	BREA, CA\|PASADENA, CA\|DIAMOND BAR, CA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 15, 2001	Oct 24, 2002	no	SANTA MONICA, 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
URBAN WEALTH MANAGEMENT OR UWM	AMERIPRISE FINANCIAL SERVICES, LLC	Jun 6, 2024	May 31, 2024	-6	Firm change	RIA to ibd
ALLSTATE FINANCIAL ADVISORS, LLC	URBAN WEALTH MANAGEMENT OR UWM	Sep 1, 2023	Sep 1, 2023	0	Firm change	Ibd to RIA
EQUANIMITY FINANCIAL PARTNERS	ALLSTATE FINANCIAL ADVISORS, LLC	Jan 12, 2018	Apr 24, 2018	102	Firm change	Other
LPL FINANCIAL LLC	LAKE AVENUE FINANCIAL, LLC	Jan 24, 2017	Nov 4, 2015	-447	Firm change after gap	Other
LAKE AVENUE FINANCIAL, LLC	EQUANIMITY FINANCIAL PARTNERS	Jun 27, 2016	Dec 8, 2017	529	Firm change after gap	Other
CHASE INVESTMENT SERVICES CORP.	LPL FINANCIAL LLC	May 12, 2009	Aug 10, 2009	90	Firm change	Other
WAMU INVESTMENTS, INC.	CHASE INVESTMENT SERVICES CORP.	May 2, 2009	May 2, 2009	0	Bulk transfer	Other
LPL FINANCIAL LLC	WAMU INVESTMENTS, INC.	Dec 22, 2008	Dec 16, 2008	-6	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	LPL FINANCIAL LLC	Oct 24, 2002	Feb 10, 2004	474	Firm change after gap	Other

Relationships

Registered with (8)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 15, 2001 to Oct 24, 2002factForm ADV
→ URBAN WEALTH MANAGEMENT OR UWMRegistered adviserregistration: previous registration
Sep 1, 2023 to Jun 6, 2024factForm ADV
→ ALLSTATE FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Apr 24, 2018 to Sep 1, 2023factForm ADV
→ EQUANIMITY FINANCIAL PARTNERSRegistered adviserregistration: previous registration
Dec 8, 2017 to Jan 12, 2018factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Aug 10, 2009 to Jan 24, 2017factForm ADV
→ LAKE AVENUE FINANCIAL, LLCRegistered adviserregistration: previous registration
Apr 1, 2016 to Jun 27, 2016factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
May 2, 2009 to May 12, 2009factForm ADV
→ WAMU INVESTMENTS, INC.Registered adviserregistration: previous registration
Dec 16, 2008 to May 2, 2009factForm ADV

Dated events

Occurred
Jun 6, 2024
Advisor changed firm
Roxana E Solorzano left Urban Wealth Management Or Uwm for Ameriprise Financial Services, Llc (registered 2024-05-31)
Form ADVobserved 6 days ago
Occurred
Sep 1, 2023
Advisor changed firm
Roxana E Solorzano left Allstate Financial Advisors, Llc for Urban Wealth Management Or Uwm (registered 2023-09-01)
Form ADVobserved 6 days ago