DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

GARRETT PIERCE SMITH

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Peoria, AZ | SIERRA VISTA, AZ | Tucson, AZ

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:459f578f-196c-a789-ba5f-b62bd28057dc

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 18, 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: Jul 19, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jul 19, 2012
First registration: Jan 18, 2013
Dual registered: yes, broker-dealer
Other names: Garrett Pierce Smith|Garrett P Smith
IAPD individual key: 5954732

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	Jan 31, 2018	n/a	yes	Peoria, AZ\|Tucson, AZ\|SIERRA VISTA, AZ	Current employment
NOVA FINANCIAL SERVICES	Independent wealth	Jun 15, 2015	Sep 28, 2015	no	TUCSON, AZ	Previous registration
FIRST FINANCIAL EQUITY CORPORATION	Former SEC adviser	Jun 15, 2015	Jun 15, 2015	no	TUCSON, AZ\|SCOTTSDALE, AZ	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Aug 12, 2014	May 28, 2015	no	TUCSON, AZ\|TUCSON, AZ	Previous registration
MORGAN STANLEY	Wirehouse	Jan 18, 2013	Feb 27, 2014	no	TUCSON, AZ	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
NOVA FINANCIAL SERVICES	AMERIPRISE FINANCIAL SERVICES, LLC	Sep 28, 2015	Jan 31, 2018	856	Firm change after gap	Other
FIRST FINANCIAL EQUITY CORPORATION	NOVA FINANCIAL SERVICES	Jun 15, 2015	Jun 15, 2015	0	Firm change	Other
WELLS FARGO ADVISORS	FIRST FINANCIAL EQUITY CORPORATION	May 28, 2015	Jun 15, 2015	18	Firm change	Other
MORGAN STANLEY	WELLS FARGO ADVISORS	Feb 27, 2014	Aug 12, 2014	166	Firm change	Wirehouse to wirehouse

Relationships

Registered with (5)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Jan 31, 2018 to presentfactForm ADV
→ NOVA FINANCIAL SERVICESRegistered adviserregistration: previous registration
Jun 15, 2015 to Sep 28, 2015factForm ADV
→ FIRST FINANCIAL EQUITY CORPORATIONRegistered adviserregistration: previous registration
Jun 15, 2015 to Jun 15, 2015factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Aug 12, 2014 to May 28, 2015factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jan 18, 2013 to Feb 27, 2014factForm ADV

Dated events

No dated event names this entity yet.