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

CASSIDY E TEPPER

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

captain cook, HI | Honolulu, HI

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:47a97a77-87c8-ca0b-3e37-b6393e792dc8

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 7, 2012 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: May 4, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 2
Exams: S66
First exam: May 4, 2012
First registration: May 7, 2012
Dual registered: yes, broker-dealer
Other names: Cassidy E Tepper
IAPD individual key: 6016461

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	Feb 7, 2014	n/a	yes	Honolulu, HI\|captain cook, HI	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 7, 2012	Jul 16, 2013	no	HONOLULU, HI	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	May 7, 2012	Jun 26, 2012	no	HONOLULU, HI\|HONOLULU, HI\|HONOLULU, HI	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	AMERIPRISE FINANCIAL SERVICES, LLC	Jul 16, 2013	Feb 7, 2014	206	Firm change	Wirehouse to ibd
EQUITABLE ADVISORS, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jun 26, 2012	Sep 7, 2012	73	Firm change	Ibd to wirehouse

Relationships

Registered with (3)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Feb 7, 2014 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 7, 2012 to Jul 16, 2013factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
May 7, 2012 to Jun 26, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:47a97a77-87c8-ca0b-3e37-b6393e792dc8
First observed: May 7, 2012
Last observed: Sep 15, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

CASSIDY E TEPPER

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

captain cook, HI | Honolulu, HI

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:47a97a77-87c8-ca0b-3e37-b6393e792dc8

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:33 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

AMERIPRISE FINANCIAL SERVICES, LLC

National bd RIA

Feb 7, 2014

n/a

yes

Honolulu, HI|captain cook, HI

Current employment

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

Sep 7, 2012

Jul 16, 2013

HONOLULU, HI

Previous registration

EQUITABLE ADVISORS, LLC

National bd RIA

May 7, 2012

Jun 26, 2012

HONOLULU, HI|HONOLULU, HI|HONOLULU, HI

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

AMERIPRISE FINANCIAL SERVICES, LLC

Jul 16, 2013

Feb 7, 2014

206

Firm change

Wirehouse to ibd

EQUITABLE ADVISORS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Jun 26, 2012

Sep 7, 2012

Firm change

Ibd to wirehouse