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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)25 years in industry

Lee Christian Helmers

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Lexington, KY

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Search this name across graphsid dfx:ria:46cbab88-2a55-c020-5f8d-0b00baaab547

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Sep 6, 2002 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: Jan 16, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Jan 16, 2001
First registration: Sep 6, 2002
Dual registered: yes, broker-dealer
Other names: Lee C Helmers|Lee Helmers
IAPD individual key: 4269885

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	Sep 5, 2025	n/a	yes	Lexington, KY	Current employment
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Sep 28, 2023	Aug 27, 2025	no	Lexington, KY	Previous registration
KEYSTONE FINANCIAL GROUP, LLC	Independent wealth	Apr 22, 2014	Aug 28, 2023	no	LEXINGTON, KY\|LEXINGTON, KY\|Lexington, KY\|Lexington, KY	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	May 9, 2008	Oct 26, 2015	no	LEXINGTON, KY\|FORT MILL, SC\|LEXINGTON, KY	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Aug 21, 2003	May 21, 2008	no	LEXINGTON, KY\|LEXINGTON, KY	Previous registration
BB&T INVESTMENT SERVICES, INC.	Former SEC adviser	Sep 6, 2002	Apr 9, 2003	no	CHARLOTTE, NC	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
U.S. BANCORP INVESTMENTS, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Aug 27, 2025	Sep 5, 2025	9	Firm change	Ibd to ibd
KEYSTONE FINANCIAL GROUP, LLC	U.S. BANCORP INVESTMENTS, INC.	Aug 28, 2023	Sep 28, 2023	31	Firm change	RIA to ibd
LPL FINANCIAL LLC	KEYSTONE FINANCIAL GROUP, LLC	Oct 26, 2015	Apr 22, 2014	-552	Firm change after gap	Other
UBS FINANCIAL SERVICES INC.	LPL FINANCIAL LLC	May 21, 2008	May 9, 2008	-12	Firm change	Other
BB&T INVESTMENT SERVICES, INC.	UBS FINANCIAL SERVICES INC.	Apr 9, 2003	Aug 21, 2003	134	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
6413:170201:KY:2015-10-26	Oct 26, 2015	Apr 22, 2014	LEXINGTON, KY	Firm change after gap

Relationships

Registered with (6)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Sep 28, 2023 to Aug 27, 2025factForm ADV
→ KEYSTONE FINANCIAL GROUP, LLCRegistered adviserregistration: previous registration
Apr 22, 2014 to Aug 28, 2023factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 9, 2008 to Oct 26, 2015factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Aug 21, 2003 to May 21, 2008factForm ADV
→ BB&T INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Sep 6, 2002 to Apr 9, 2003factForm ADV

Dated events

Occurred
Aug 27, 2025
Advisor changed firm
Lee Christian Helmers left U.S. Bancorp Investments, Inc. for Ameriprise Financial Services, Llc (registered 2025-09-05)
Form ADVobserved 5 days ago
Occurred
Aug 28, 2023
Advisor changed firm
Lee Christian Helmers left Keystone Financial Group, Llc for U.S. Bancorp Investments, Inc. (registered 2023-09-28)
Form ADVobserved 5 days ago