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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

GARY OWEN FINNEGAN

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Jupiter, FL | PALM BEACH GARDENS, FL

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Search this name across graphsid dfx:ria:38ba76b5-a0bd-84f2-c8e3-583f755767f7

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 8, 2002 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: Jul 5, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jul 5, 2002
First registration: Jul 8, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 3260147

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 15, 2020	n/a	yes	PALM BEACH GARDENS, FL\|Jupiter, FL	Current employment
WELLS FARGO ADVISORS	Wirehouse	Jan 18, 2011	Jun 16, 2020	no	PALM BEACH GARDENS, FL\|BOCA RATON, FL\|SAN LEANDRO, CA\|WALNUT CREEK, CA\|WALNUT CREEK, CA\|DUBLIN, CA\|DANVILLE, CA\|PALM BEACH GARDENS, FL\|WEST PALM BEACH, FL\|BOCA RATON, FL\|PALM BEACH GARDENS, FL\|PALM BEACH, FL	Previous registration
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Former SEC adviser	Oct 30, 2008	Jan 18, 2011	no	DANVILLE, CA\|SAN FRANCISCO, CA	Previous registration
UVEST FINANCIAL SERVICES GROUP, INC.	n/a	Jan 12, 2005	Oct 27, 2008	no	FREMONT, CA\|FREMONT, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jul 8, 2002	Oct 1, 2004	no	SAN FRANCISCO, CA	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
WELLS FARGO ADVISORS	AMERIPRISE FINANCIAL SERVICES, LLC	Jun 16, 2020	Jun 15, 2020	-1	Firm change	Wirehouse to ibd
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	WELLS FARGO ADVISORS	Jan 18, 2011	Jan 18, 2011	0	Firm change	Other
UVEST FINANCIAL SERVICES GROUP, INC.	BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Oct 27, 2008	Oct 30, 2008	3	Firm change	Other
UBS FINANCIAL SERVICES INC.	UVEST FINANCIAL SERVICES GROUP, INC.	Oct 1, 2004	Jan 12, 2005	103	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
19616:6363:FL:2020-06-09	Jun 16, 2020	Jun 15, 2020	PALM BEACH, FL	Firm change

Relationships

Registered with (5)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Jun 15, 2020 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 18, 2011 to Jun 16, 2020factForm ADV
→ BANCWEST INVESTMENT SERVICES, INC. (BWIS)Registered adviserregistration: previous registration
Oct 30, 2008 to Jan 18, 2011factForm ADV
→ UVEST FINANCIAL SERVICES GROUP, INC.Registered adviserregistration: previous registration
Jan 12, 2005 to Oct 27, 2008factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jul 8, 2002 to Oct 1, 2004factForm ADV

Dated events

No dated event names this entity yet.