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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

ERIK ERLE SIMMONS

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Carlsbad, CA

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Search this name across graphsid dfx:ria:3f62cf88-afe5-cb3f-e847-15536e4a99ce

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Feb 21, 2006 to Sep 14, 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: Apr 27, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S63
First exam: Apr 27, 1994
First registration: Feb 21, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 2479132

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 4, 2023	n/a	yes	Carlsbad, CA\|Carlsbad, CA	Current employment
AXXCESS WEALTH MANAGEMENT, LLC	Independent wealth	Jan 5, 2022	Jan 3, 2024	no	CARLSBAD, CA	Previous registration
AXXCESS WEALTH MANAGEMENT, LLC	Independent wealth	Sep 16, 2015	Dec 31, 2021	no	CARLSBAD, CA	Previous registration
CALTON & ASSOCIATES, INC.	Independent wealth	Aug 29, 2014	Aug 25, 2015	no	CARLSBAD, CA	Previous registration
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Apr 6, 2010	Sep 4, 2014	no	Del Mar, CA\|OCEANSIDE, CA\|Rancho Santa Fe, CA\|SAN DIEGO, CA\|RANCHO SANTA FE, CA\|OCEANSIDE, CA\|Oceanside, CA\|SAN MARCOS, CA\|SAN MARCOS, CA\|San Marcos, CA\|SAN MARCOS, CA\|CARLSBAD, CA\|CARLSBAD, CA\|SAN DIEGO, CA\|Vista, CA\|VISTA, CA\|SOLONA BEACH, CA\|Carlsbad, CA\|CARLSBAD, CA\|Murrieta, CA\|Temecula, CA\|ESCONDIDO, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 2, 2009	Apr 5, 2010	no	RANCHO SANTA FE, CA\|DEL MAR, CA\|SAN MARCOS, CA\|VISTA, CA\|SAN MARCOS, CA\|VISTA, CA	Previous registration
WAMU INVESTMENTS, INC.	n/a	Feb 21, 2006	May 2, 2009	no	RANCHO SANTA FE, CA\|SAN MARCOS, CA\|DEL MAR, CA\|RANCHO SANTA FE, CA\|VISTA, CA\|SAN MARCOS, 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
AXXCESS WEALTH MANAGEMENT, LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Jan 3, 2024	Dec 4, 2023	-30	Firm change	RIA to ibd
CALTON & ASSOCIATES, INC.	AXXCESS WEALTH MANAGEMENT, LLC	Aug 25, 2015	Sep 16, 2015	22	Firm change	Other
U.S. BANCORP INVESTMENTS, INC.	CALTON & ASSOCIATES, INC.	Sep 4, 2014	Aug 29, 2014	-6	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	U.S. BANCORP INVESTMENTS, INC.	Apr 5, 2010	Apr 6, 2010	1	Firm change	Other
WAMU INVESTMENTS, INC.	CHASE INVESTMENT SERVICES CORP.	May 2, 2009	May 2, 2009	0	Bulk transfer	Other

Team moves

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

Team	Left	Joined	From	Kind
164081:6363:CA:2024-01-03	Jan 3, 2024	Dec 4, 2023	CARLSBAD, CA	Firm change

Relationships

Registered with (6)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Dec 4, 2023 to presentfactForm ADV
→ AXXCESS WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jan 5, 2022 to Jan 3, 2024factForm ADV
→ CALTON & ASSOCIATES, INC.Registered adviserregistration: previous registration
Aug 29, 2014 to Aug 25, 2015factForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Apr 6, 2010 to Sep 4, 2014factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
May 2, 2009 to Apr 5, 2010factForm ADV
→ WAMU INVESTMENTS, INC.Registered adviserregistration: previous registration
Feb 21, 2006 to May 2, 2009factForm ADV

Dated events

Occurred
Jan 3, 2024
Advisor changed firm
Erik Erle Simmons left Axxcess Wealth Management, Llc for Ameriprise Financial Services, Llc (registered 2023-12-04)
Form ADVobserved 4 days ago