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RIA / WealthAdvisordual registered (broker-dealer)43 years in industry

JAMES PATRICK ROBERTSON

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Spring, TX | Savannah, GA

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Search this name across graphsid dfx:ria:2ae32017-869d-1912-2f7c-0caa6527d6f5

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 19, 2000 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: May 20, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63
First exam: May 20, 1983
First registration: Jun 19, 2000
Dual registered: yes, broker-dealer
Other names: PAT ROBERTSON|JAMES ROBERTSON|JAMES PATRICK ROBERTSON|JAMES P ROBERTSON
IAPD individual key: 1082420

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	Apr 24, 2024	n/a	yes	Spring, TX\|Savannah, GA\|Spring, TX	Current employment
OSAIC WEALTH, INC.	Bd affiliated wealth	Sep 1, 2023	Apr 26, 2024	no	SPRING, TX\|SAVANNAH, GA	Previous registration
SAGEPOINT FINANCIAL, INC.	Former SEC adviser	Aug 18, 2010	Sep 1, 2023	no	THE WOODLAND, TX\|SPRING, TX\|SAVANNAH, GA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 23, 2006	Aug 18, 2010	no	SHENANDOAH, TX\|HOUSTON, TX\|SHENANDOAH, TX\|CONROE, TX\|SHENANDOAH, TX	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	Jun 19, 2000	Jun 12, 2006	no	CONROE, TX\|Conroe, TX\|THE WOODLANDS, TX	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 WEALTH, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Apr 26, 2024	Apr 24, 2024	-2	Firm change	Ibd to ibd
SAGEPOINT FINANCIAL, INC.	OSAIC WEALTH, INC.	Sep 1, 2023	Sep 1, 2023	0	Bulk transfer	Ibd to ibd
LPL FINANCIAL LLC	SAGEPOINT FINANCIAL, INC.	Aug 18, 2010	Aug 18, 2010	0	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES, INC.	LPL FINANCIAL LLC	Jun 12, 2006	Oct 23, 2006	133	Firm change	Other

Relationships

Registered with (5)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Apr 24, 2024 to presentfactForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Sep 1, 2023 to Apr 26, 2024factForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserregistration: previous registration
Aug 18, 2010 to Sep 1, 2023factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Oct 23, 2006 to Aug 18, 2010factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jun 19, 2000 to Jun 12, 2006factForm ADV

Dated events

Occurred
Apr 26, 2024
Advisor changed firm
James Patrick Robertson left Osaic Wealth, Inc. for Ameriprise Financial Services, Llc (registered 2024-04-24)
Form ADVobserved 4 days ago