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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

Lee Kalotta

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Oakbrook Terrace, IL

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Search this name across graphsid dfx:ria:5accbae0-5778-c2b8-453d-0ac2ebd12db4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 29, 2006 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: Oct 29, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Oct 29, 2003
First registration: Jun 29, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 4340808

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	Mar 31, 2025	n/a	yes	Oakbrook Terrace, IL	Current employment
KINGSBURY CAPITAL INVESTMENT ADVISORS LLC	Independent wealth	Jan 4, 2013	Dec 18, 2018	no	WILMETTE, IL	Previous registration
VALLEY FINANCIAL MANAGEMENT, INC.	Bd affiliated wealth	Sep 15, 2010	Oct 17, 2012	no	HIGHLAND PARK, IL	Previous registration
USF ADVISORS, LLC	n/a	Jun 29, 2006	Jul 6, 2007	no	HOUSTON, TX	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
KINGSBURY CAPITAL INVESTMENT ADVISORS LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Dec 18, 2018	Mar 31, 2025	2,295	Firm change after gap	RIA to ibd
VALLEY FINANCIAL MANAGEMENT, INC.	KINGSBURY CAPITAL INVESTMENT ADVISORS LLC	Oct 17, 2012	Jan 4, 2013	79	Firm change	Ibd to RIA
USF ADVISORS, LLC	VALLEY FINANCIAL MANAGEMENT, INC.	Jul 6, 2007	Sep 15, 2010	1,167	Firm change after gap	Other

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ KINGSBURY CAPITAL INVESTMENT ADVISORS LLCRegistered adviserregistration: previous registration
Jan 4, 2013 to Dec 18, 2018factForm ADV
→ VALLEY FINANCIAL MANAGEMENT, INC.Registered adviserregistration: previous registration
Sep 15, 2010 to Oct 17, 2012factForm ADV
→ USF ADVISORS, LLCRegistered adviserregistration: previous registration
Jun 29, 2006 to Jul 6, 2007factForm ADV

Dated events

No dated event names this entity yet.