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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

JAMES ALLEN ROSSET

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Holland, MI | Grand Rapids, MI

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Search this name across graphsid dfx:ria:230ffcc3-749a-4125-a2ab-ca631d1b3bf0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Sep 19, 2012 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: May 6, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: May 6, 2011
First registration: Sep 19, 2012
Dual registered: yes, broker-dealer
Other names: JAMES A ROSSET|JIM ALLEN ROSSET|JIM A ROSSET|JIM ROSSET|JAMES ROSSET
IAPD individual key: 4741654

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 21, 2025	n/a	yes	Holland, MI\|Grand Rapids, MI	Current employment
OSAIC INSTITUTIONS, INC.	Bd affiliated wealth	Oct 3, 2024	May 21, 2025	no	Sparta, MI	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Feb 6, 2024	Oct 24, 2024	no	SAN DIEGO, CA\|Holland, MI\|HOLLAND, MI	Previous registration
OSAIC INSTITUTIONS, INC.	Bd affiliated wealth	Jul 1, 2016	Feb 1, 2024	no	Holland, MI\|Holland, MI	Previous registration
ESSEX NATIONAL SECURITIES, INC.	Former SEC adviser	Sep 22, 2014	Jul 1, 2016	no	GRAND HAVEN, MI\|Holland, MI	Previous registration
ROYAL ADVISORS, LLC	Former SEC adviser	Sep 19, 2012	Apr 30, 2013	no	GRANDVILLE, MI	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
OSAIC INSTITUTIONS, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	May 21, 2025	May 21, 2025	0	Firm change	Ibd to ibd
LPL FINANCIAL LLC	OSAIC INSTITUTIONS, INC.	Oct 24, 2024	Oct 3, 2024	-21	Firm change	Ibd to ibd
OSAIC INSTITUTIONS, INC.	LPL FINANCIAL LLC	Feb 1, 2024	Feb 6, 2024	5	Firm change	Ibd to ibd
ESSEX NATIONAL SECURITIES, INC.	OSAIC INSTITUTIONS, INC.	Jul 1, 2016	Jul 1, 2016	0	Bulk transfer	Other
ROYAL ADVISORS, LLC	ESSEX NATIONAL SECURITIES, INC.	Apr 30, 2013	Sep 22, 2014	510	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
35371:6363:MI:2025-05-20	May 21, 2025	May 21, 2025	SPARTA, MI	Firm change
35371:6413:MI:2024-01-30	Feb 1, 2024	Feb 6, 2024	HOLLAND, MI	Firm change

Relationships

Registered with (5)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
May 21, 2025 to presentfactForm ADV
→ OSAIC INSTITUTIONS, INC.Registered adviserregistration: previous registration
Oct 3, 2024 to May 21, 2025factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Feb 6, 2024 to Oct 24, 2024factForm ADV
→ ESSEX NATIONAL SECURITIES, INC.Registered adviserregistration: previous registration
Sep 22, 2014 to Jul 1, 2016factForm ADV
→ ROYAL ADVISORS, LLCRegistered adviserregistration: previous registration
Sep 19, 2012 to Apr 30, 2013factForm ADV

Dated events

Occurred
May 21, 2025
Advisor changed firm
James Allen Rosset left Osaic Institutions, Inc. for Ameriprise Financial Services, Llc (registered 2025-05-21)
Form ADVobserved 5 days ago
Occurred
Oct 24, 2024
Advisor changed firm
James Allen Rosset left Lpl Financial Llc for Osaic Institutions, Inc. (registered 2024-10-03)
Form ADVobserved 5 days ago
Occurred
Feb 1, 2024
Advisor changed firm
James Allen Rosset left Osaic Institutions, Inc. for Lpl Financial Llc (registered 2024-02-06)
Form ADVobserved 5 days ago