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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

ARNOLD ROY BLUMENFELD

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Norwalk, CT | Westport, CT

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Search this name across graphsid dfx:ria:698a55d1-e672-d7b3-fbfb-1878778d749e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 12, 2005 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: Mar 9, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Mar 9, 1990
First registration: Oct 12, 2005
Dual registered: yes, broker-dealer
Other names: ARNIE BLUMENFELD|ARNOLD ROY BLUMENFELD|Arnold Blumenfeld
IAPD individual key: 707374

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	Nov 13, 2017	n/a	yes	Westport, CT\|Norwalk, CT	Current employment
WELLS FARGO ADVISORS	Wirehouse	Jul 24, 2009	Nov 13, 2017	no	WESTPORT, CT\|SOUTHPORT, CT	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Aug 14, 2009	no	Westport, CT	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Oct 12, 2005	Jun 1, 2009	no	WESTPORT, CT\|WESTPORT, CT	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
WELLS FARGO ADVISORS	AMERIPRISE FINANCIAL SERVICES, LLC	Nov 13, 2017	Nov 13, 2017	0	Firm change	Wirehouse to ibd
MORGAN STANLEY	WELLS FARGO ADVISORS	Aug 14, 2009	Jul 24, 2009	-21	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Nov 13, 2017 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 24, 2009 to Nov 13, 2017factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Aug 14, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Oct 12, 2005 to Jun 1, 2009factForm ADV

Dated events

No dated event names this entity yet.