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.

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 1, 2012earliest registration or exam on IAPD

Years in industry

13derivedfrom the industry start date

Years at current firm

1derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

2

Exams

S66

First exam

Dec 1, 2012

First registration

Dec 3, 2012

Dual registered

yes, broker-dealer

IAPD individual key

5968359

• Occurred

  Oct 28, 2024
  Advisor changed firm

  Sean Tompkins left Lpl Financial Llc for Ameriprise Financial Services, Llc (registered 2024-10-21)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:2a51ee87-b7e3-2b3b-5368-01de29dad882

First observed

Dec 3, 2012

Last observed

Sep 14, 2026 7 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.