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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

ADAM STANLEY NOVAK

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Madison, CT | New York, NY

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Search this name across graphsid dfx:ria:1a75d747-ceae-df44-4b99-4a9f364978df

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 16, 2015 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: Dec 16, 2014earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Dec 16, 2014
First registration: Jan 16, 2015
Dual registered: yes, broker-dealer
IAPD individual key: 6091335

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	Sep 27, 2024	n/a	yes	New York, NY\|Madison, CT\|Madison, CT	Current employment
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Apr 5, 2019	Oct 4, 2024	no	Boston, MA\|Glastonbury, CT\|Madison, CT\|Hamden, CT\|Hamden, CT\|MELVILLE, NY\|NORWALK, CT\|LONGMEADOW, MA	Previous registration
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC	Asset manager	Apr 7, 2015	Apr 25, 2017	no	BOSTON, MA	Previous registration
NFP ADVISOR SERVICES, LLC	Former SEC adviser	Jan 16, 2015	Apr 1, 2015	no	BETHESDA, MD	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
MML INVESTORS SERVICES, LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Oct 4, 2024	Sep 27, 2024	-7	Firm change	Ibd to ibd
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC	MML INVESTORS SERVICES, LLC	Apr 25, 2017	Apr 5, 2019	710	Firm change after gap	Other
NFP ADVISOR SERVICES, LLC	COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC	Apr 1, 2015	Apr 7, 2015	6	Firm change	Other

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Sep 27, 2024 to presentfactForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Apr 5, 2019 to Oct 4, 2024factForm ADV
→ COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLCRegistered adviserregistration: previous registration
Apr 7, 2015 to Apr 25, 2017factForm ADV
→ NFP ADVISOR SERVICES, LLCRegistered adviserregistration: previous registration
Jan 16, 2015 to Apr 1, 2015factForm ADV

Dated events

Occurred
Oct 4, 2024
Advisor changed firm
Adam Stanley Novak left Mml Investors Services, Llc for Ameriprise Financial Services, Llc (registered 2024-09-27)
Form ADVobserved 5 days ago