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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

JASON LEONARD GAROFALO

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Las Vegas, NV | Post Falls, ID

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Search this name across graphsid dfx:ria:27b42836-e7fd-e77c-1624-0b1e16bfd3f6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 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: Apr 9, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 4
Exams: S66
First exam: Apr 9, 1998
First registration: May 15, 2001
Dual registered: yes, broker-dealer
Other names: JASON L GAROFALO
IAPD individual key: 3008935

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	Nov 17, 2015	n/a	yes	Las Vegas, NV\|Las Vegas, NV\|Post Falls, ID	Current employment
AGA ADVISORS, LLC	Former SEC adviser	Mar 6, 2014	Oct 22, 2014	no	LAS VEGAS, NV	Previous registration
TRICOR ADVISORY SERVICES, LLC	Former SEC adviser	Jan 19, 2012	Dec 11, 2015	no	LAS VEGAS, NV	Previous registration
INVEST FINANCIAL CORPORATION	Former SEC adviser	May 14, 2003	Jun 20, 2007	no	LAS VEGAS, NV\|LAS VEGAS, NV	Previous registration
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	May 15, 2001	May 15, 2003	no	LAS VEGAS, NV	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
TRICOR ADVISORY SERVICES, LLC	AGA ADVISORS, LLC	Dec 11, 2015	Mar 6, 2014	-645	Firm change after gap	Other
AGA ADVISORS, LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Oct 22, 2014	Nov 17, 2015	391	Firm change	Other
INVEST FINANCIAL CORPORATION	TRICOR ADVISORY SERVICES, LLC	Jun 20, 2007	Jan 19, 2012	1,674	Firm change after gap	Other
COMMONWEALTH FINANCIAL NETWORK	INVEST FINANCIAL CORPORATION	May 15, 2003	May 14, 2003	-1	Firm change	Other

Relationships

Registered with (5)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Nov 17, 2015 to presentfactForm ADV
→ TRICOR ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Jan 19, 2012 to Dec 11, 2015factForm ADV
→ AGA ADVISORS, LLCRegistered adviserregistration: previous registration
Mar 6, 2014 to Oct 22, 2014factForm ADV
→ INVEST FINANCIAL CORPORATIONRegistered adviserregistration: previous registration
May 14, 2003 to Jun 20, 2007factForm ADV
→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: previous registration
May 15, 2001 to May 15, 2003factForm ADV

Dated events

No dated event names this entity yet.