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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

JOHN DAVID ANDERSON

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

ALPHARETTA, GA | Alpharetta, GA

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Search this name across graphsid dfx:ria:4a86b2c3-a4a8-7303-8e9c-dbb6f83beaf8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 2, 2003 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: Nov 22, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Nov 22, 1999
First registration: Jan 2, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 1045831

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	Jul 9, 2014	n/a	yes	ALPHARETTA, GA\|Alpharetta, GA	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jul 21, 2014	no	Atlanta, GA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	ATLANTA, GA	Previous registration
MORGAN STANLEY DW INC.	n/a	Nov 10, 2006	Apr 2, 2007	no	ATLANTA, GA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jan 2, 2003	Dec 8, 2006	no	ATLANTA, GA\|ATLANTA, GA	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
MORGAN STANLEY	AMERIPRISE FINANCIAL SERVICES, LLC	Jul 21, 2014	Jul 9, 2014	-12	Firm change	Wirehouse to ibd
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	MORGAN STANLEY DW INC.	Dec 8, 2006	Nov 10, 2006	-28	Firm change	Other

Relationships

Registered with (5)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Jul 9, 2014 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jul 21, 2014factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Nov 10, 2006 to Apr 2, 2007factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jan 2, 2003 to Dec 8, 2006factForm ADV

Dated events

No dated event names this entity yet.