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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

JOHN JAMES COOLEY

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Huntley, IL | DEERFIELD, IL

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Search this name across graphsid dfx:ria:1ed9916e-e858-b6e6-9361-43e3f7e70f1e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 18, 2003 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: Sep 9, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Sep 9, 1993
First registration: Dec 18, 2003
Dual registered: yes, broker-dealer
Other names: JACK COOLEY
IAPD individual key: 2309848

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	Jun 3, 2016	n/a	yes	DEERFIELD, IL\|Huntley, IL	Current employment
RBC CAPITAL MARKETS, LLC	National bd RIA	Apr 24, 2009	Jun 14, 2016	no	Buffalo Grove, IL	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 1, 2008	Apr 24, 2009	no	SKOKIE, IL	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Dec 18, 2003	Jan 1, 2008	no	SKOKIE, IL\|ST. LOUIS, MO\|SKOKIE, IL	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
RBC CAPITAL MARKETS, LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Jun 14, 2016	Jun 3, 2016	-11	Firm change	Ibd to ibd
WELLS FARGO ADVISORS	RBC CAPITAL MARKETS, LLC	Apr 24, 2009	Apr 24, 2009	0	Firm change	Wirehouse to ibd
A. G. EDWARDS & SONS, INC.	WELLS FARGO ADVISORS	Jan 1, 2008	Jan 1, 2008	0	Bulk transfer	Other

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Jun 3, 2016 to presentfactForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Apr 24, 2009 to Jun 14, 2016factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 1, 2008 to Apr 24, 2009factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Dec 18, 2003 to Jan 1, 2008factForm ADV

Dated events

No dated event names this entity yet.