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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

KATHY ANN MERRITT

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Grayslake, IL

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Search this name across graphsid dfx:ria:64030f1a-0efc-87cd-c544-34ca457245ab

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Aug 7, 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: May 12, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: May 12, 2005
First registration: Aug 7, 2006
Dual registered: yes, broker-dealer
Other names: KATHERINE ANN MERRITT|KATHERINE A. MERRITT|KATHERINE MERRITT|KATHY A. MERRITT|KATHTY MERRITT
IAPD individual key: 4758332

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	Aug 11, 2025	n/a	yes	Grayslake, IL	Current employment
OSAIC WEALTH, INC.	Bd affiliated wealth	Sep 1, 2023	Aug 13, 2025	no	GRAYSLAKE, IL	Previous registration
SAGEPOINT FINANCIAL, INC.	Former SEC adviser	Aug 3, 2021	Sep 1, 2023	no	GRAYSLAKE, IL	Previous registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	May 4, 2018	Aug 6, 2021	no	Grayslake, IL	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jan 14, 2011	May 21, 2018	no	RIVERWOODS, IL\|SAN DIEGO, CA\|RIVERWOODS, IL\|GRAYSLAKE, IL	Previous registration
MONEY CONCEPTS ADVISORY SERVICE	Bd affiliated wealth	Aug 7, 2006	Jan 18, 2011	no	PALM BEACH GARDENS, FL\|Wilmington, NC\|PALM BEACH GARDENS, FL\|LIBERTYVILLE, IL	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
OSAIC WEALTH, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Aug 13, 2025	Aug 11, 2025	-2	Firm change	Ibd to ibd
SAGEPOINT FINANCIAL, INC.	OSAIC WEALTH, INC.	Sep 1, 2023	Sep 1, 2023	0	Bulk transfer	Ibd to ibd
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	SAGEPOINT FINANCIAL, INC.	Aug 6, 2021	Aug 3, 2021	-3	Firm change	Ibd to ibd
LPL FINANCIAL LLC	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	May 21, 2018	May 4, 2018	-17	Firm change	RIA to ibd
MONEY CONCEPTS ADVISORY SERVICE	LPL FINANCIAL LLC	Jan 18, 2011	Jan 14, 2011	-4	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
23131:6363:IL:2025-08-13	Aug 13, 2025	Aug 11, 2025	GRAYSLAKE, IL	Firm change
134139:133763:IL:2021-08-06	Aug 6, 2021	Aug 3, 2021	GRAYSLAKE, IL	Firm change

Relationships

Registered with (6)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Aug 11, 2025 to presentfactForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Sep 1, 2023 to Aug 13, 2025factForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserregistration: previous registration
Aug 3, 2021 to Sep 1, 2023factForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
May 4, 2018 to Aug 6, 2021factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jan 14, 2011 to May 21, 2018factForm ADV
→ MONEY CONCEPTS ADVISORY SERVICERegistered adviserregistration: previous registration
Aug 7, 2006 to Jan 18, 2011factForm ADV

Dated events

Occurred
Aug 13, 2025
Advisor changed firm
Kathy Ann Merritt left Osaic Wealth, Inc. for Ameriprise Financial Services, Llc (registered 2025-08-11)
Form ADVobserved 4 days ago