DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

JOHN DAVID OBRIEN

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Plymouth Meeting, PA | Bryn Mawr, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2f7f0d2e-3a7e-ddd1-c755-a1f839273df7

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 30, 2013 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 30, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Feb 15, 2017
First registration: May 30, 2013
Dual registered: yes, broker-dealer
IAPD individual key: 2679325

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	Dec 2, 2020	n/a	yes	Plymouth Meeting, PA\|Bryn Mawr, PA	Current employment
PRUCO SECURITIES, LLC	No RAUM reported	Feb 6, 2020	Aug 25, 2020	no	CAMP HILL, PA\|Exton, PA	Previous registration
RELATE PERSONAL FINANCE	n/a	Mar 23, 2017	Dec 17, 2019	no	BRYN MAWR, PA	Previous registration
MY FINANCIAL PLAN, INC.	n/a	May 30, 2013	Dec 31, 2013	no	RICHMOND, VA	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
PRUCO SECURITIES, LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Aug 25, 2020	Dec 2, 2020	99	Firm change	Ibd to ibd
RELATE PERSONAL FINANCE	PRUCO SECURITIES, LLC	Dec 17, 2019	Feb 6, 2020	51	Firm change	Other
MY FINANCIAL PLAN, INC.	RELATE PERSONAL FINANCE	Dec 31, 2013	Mar 23, 2017	1,178	Firm change after gap	Other

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Dec 2, 2020 to presentfactForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Feb 6, 2020 to Aug 25, 2020factForm ADV
→ RELATE PERSONAL FINANCERegistered adviserregistration: previous registration
Mar 23, 2017 to Dec 17, 2019factForm ADV
→ MY FINANCIAL PLAN, INC.Registered adviserregistration: previous registration
May 30, 2013 to Dec 31, 2013factForm ADV

Dated events

No dated event names this entity yet.