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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

CHRISTOPHER LAPPAS

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

PALM BEACH GARDENS, FL | Palm Beach Gardens, FL

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Search this name across graphsid dfx:ria:406cb709-84c8-9fad-a2e9-b25a9445e258

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 4, 2010 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 19, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Jul 19, 1991
First registration: Jun 4, 2010
Dual registered: yes, broker-dealer
Other names: CHRISTOPHER L LAPPAS|CHRISTOPHER LOUIS LAPPAS
IAPD individual key: 2140189

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	Aug 7, 2026	n/a	yes	Palm Beach Gardens, FL\|PALM BEACH GARDENS, FL	Current employment
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Oct 2, 2018	Aug 7, 2026	no	STAMFORD, CT	Previous registration
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	Jul 7, 2015	Sep 28, 2018	no	ST. LOUIS, MO\|NEW YORK, NY\|HACKENSACK, NJ	Previous registration
STERNE AGEE ASSET MANAGEMENT, INC.	Former SEC adviser	Oct 24, 2013	Jul 7, 2015	no	STAMFORD, CT	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 4, 2010	Jan 3, 2012	no	FAIRFIELD, CT\|WHITE PLAINS, NY\|WHITE PLAINS, NY\|SOUTHAMPTON, NY\|FOREST HILLS, NY\|GREENWICH, CT\|HARTFORD, CT\|GARDEN CITY, NY\|NEW YORK, NY\|NEW CANAAN, CT\|GREENWICH, CT\|GARDEN CITY, NY\|BOSTON, MA\|GARDEN CITY, NY\|FAIRFIELD, CT\|GARDEN CITY, NY\|WHITE PLAINS, NY\|MELVILLE, NY\|STAMFORD, CT\|SMITHTOWN, NY\|MELVILLE, NY\|GREAT NECK, NY\|GREAT NECK, NY\|HARTFORD, CT\|NEW HAVEN, 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	Aug 7, 2026	Aug 7, 2026	0	Firm change	Ibd to ibd
STIFEL, NICOLAUS & COMPANY, INCORPORATED	OPPENHEIMER & CO. INC.	Sep 28, 2018	Oct 2, 2018	4	Firm change	Ibd to ibd
STERNE AGEE ASSET MANAGEMENT, INC.	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Jul 7, 2015	Jul 7, 2015	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	STERNE AGEE ASSET MANAGEMENT, INC.	Jan 3, 2012	Oct 24, 2013	660	Firm change after gap	Other

Relationships

Registered with (5)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Aug 7, 2026 to presentfactForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Oct 2, 2018 to Aug 7, 2026factForm ADV
→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: previous registration
Jul 7, 2015 to Sep 28, 2018factForm ADV
→ STERNE AGEE ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Oct 24, 2013 to Jul 7, 2015factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 4, 2010 to Jan 3, 2012factForm ADV

Dated events

Occurred
Aug 7, 2026
Advisor changed firm
Christopher Lappas left Oppenheimer & Co. Inc. for Ameriprise Financial Services, Llc (registered 2026-08-07)
Form ADVobserved 6 days ago