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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

CARMEN SMITH LANCE

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Murphy, NC | Blairsville, GA

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Search this name across graphsid dfx:ria:508a9a68-c3ad-b19a-618a-1cbea5876186

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 27, 2009 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: May 26, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S66
First exam: May 26, 2009
First registration: May 27, 2009
Dual registered: yes, broker-dealer
Other names: CARMEN SMITH LANCE|CARMEN ELIZABETH SMITH
IAPD individual key: 4980630

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	Apr 1, 2015	n/a	yes	Murphy, NC\|Blairsville, GA	Current employment
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Sep 18, 2013	Feb 16, 2015	no	HAYESVILLE, NC	Previous registration
EDWARD JONES	National bd RIA	Sep 24, 2010	Sep 19, 2013	no	HAYESVILLE, NC	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	May 27, 2009	Sep 14, 2010	no	FORT MILL, SC\|MURPHY, NC\|FRANKLIN, NC\|BLAIRSVILLE, GA\|HAYESVILLE, 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
SECURITIES AMERICA ADVISORS, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Feb 16, 2015	Apr 1, 2015	44	Firm change	Other
EDWARD JONES	SECURITIES AMERICA ADVISORS, INC.	Sep 19, 2013	Sep 18, 2013	-1	Firm change	Other
LPL FINANCIAL LLC	EDWARD JONES	Sep 14, 2010	Sep 24, 2010	10	Firm change	Other

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Apr 1, 2015 to presentfactForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Sep 18, 2013 to Feb 16, 2015factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Sep 24, 2010 to Sep 19, 2013factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 27, 2009 to Sep 14, 2010factForm ADV

Dated events

No dated event names this entity yet.