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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

ERIC DAVID JOHNSON

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Weston, CT | SOUTHPORT, CT

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Search this name across graphsid dfx:ria:2db8dbc7-c754-be79-ab81-5f384e68f459

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 23, 1996 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: Jun 7, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jun 7, 1996
First registration: Jul 23, 1996
Dual registered: yes, broker-dealer
IAPD individual key: 2736786

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 17, 2019	n/a	yes	SOUTHPORT, CT\|Weston, CT	Current employment
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Jul 24, 2009	Jun 14, 2019	no	STAMFORD, CT	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jul 23, 2009	no	Westport, CT	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jul 23, 1996	Jun 1, 2009	no	WESTPORT, CT\|WESTPORT, CT	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
OPPENHEIMER & CO. INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Jun 14, 2019	Jun 17, 2019	3	Firm change	Ibd to ibd
MORGAN STANLEY	OPPENHEIMER & CO. INC.	Jul 23, 2009	Jul 24, 2009	1	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Jun 17, 2019 to presentfactForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Jul 24, 2009 to Jun 14, 2019factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jul 23, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jul 23, 1996 to Jun 1, 2009factForm ADV

Dated events

No dated event names this entity yet.