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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

Allen David Andes

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Parker, CO | Aurora, CO

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Search this name across graphsid dfx:ria:20bd6f07-d273-7406-07b3-14939e30f5ce

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 19, 2007 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: Feb 25, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Feb 25, 1994
First registration: Feb 19, 2007
Dual registered: yes, broker-dealer
Other names: Allen Andes
IAPD individual key: 2428628

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 22, 2018	n/a	yes	Parker, CO\|Aurora, CO	Current employment
INVESTMENT PROFESSIONALS, INC.	Former SEC adviser	Jan 31, 2014	Sep 24, 2018	no	SAN ANTONIO, TX\|Aurora, CO\|Highlands Ranch, CO\|Aurora, CO\|Aurora, CO\|SAN ANTONIO, TX	Previous registration
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Jul 13, 2011	Feb 27, 2014	no	LAKEWOOD, CO	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Feb 19, 2007	Jul 15, 2009	no	PLYMOUTH MEETING, PA\|ROYERSFORD, PA\|NORRISTOWN, PA\|EAGLEVILLE, PA\|NORRITON, PA\|EAST NORRITON, PA\|PLYMOUTH MEETING, PA\|NORRISTOWN, PA\|CONSHOHOCKEN, PA\|NORRISTOWN, PA	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
INVESTMENT PROFESSIONALS, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Sep 24, 2018	Jun 22, 2018	-94	Bulk transfer	Ibd to ibd
VALIC FINANCIAL ADVISORS, INC.	INVESTMENT PROFESSIONALS, INC.	Feb 27, 2014	Jan 31, 2014	-27	Firm change	Other
PNC WEALTH MANAGEMENT	VALIC FINANCIAL ADVISORS, INC.	Jul 15, 2009	Jul 13, 2011	728	Firm change after gap	Other

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Jun 22, 2018 to presentfactForm ADV
→ INVESTMENT PROFESSIONALS, INC.Registered adviserregistration: previous registration
Jan 31, 2014 to Sep 24, 2018factForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Jul 13, 2011 to Feb 27, 2014factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Feb 19, 2007 to Jul 15, 2009factForm ADV

Dated events

No dated event names this entity yet.