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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

DANIEL WAYNE FINCH

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Mansfield, TX | Fairview, TX | Greenville, TX

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Search this name across graphsid dfx:ria:6cd779c8-4c20-b61b-9564-e35d0c52bbb5

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 13, 2003 to Sep 15, 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 11, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Mar 11, 2003
First registration: Mar 13, 2003
Dual registered: yes, broker-dealer
Other names: Daniel W Finch|Dan Wayne Finch|Dan Finch
IAPD individual key: 4620343

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	Dec 1, 2021	n/a	yes	Mansfield, TX\|Greenville, TX\|Fairview, TX	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 7, 2021	Dec 3, 2021	no	GREENVILLE, TX	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jan 17, 2008	Oct 7, 2021	no	GREENVILLE, TX\|FORNEY, TX\|ROWLETT, TX\|ROWLETT, TX\|ROCKWALL, TX\|ROWLETT, TX\|ROYSE CITY, TX\|ROYSE CITY, TX	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Jul 6, 2005	Jan 15, 2008	no	GREENVILLE, TX\|GREENVILLE, TX	Previous registration
BANC ONE SECURITIES CORPORATION	n/a	Feb 25, 2005	Jul 6, 2005	no	GREENVILLE, TX	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Mar 13, 2003	Mar 1, 2005	no	RICHARDSON, 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
LPL FINANCIAL LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Dec 3, 2021	Dec 1, 2021	-2	Firm change	Ibd to ibd
CHASE INVESTMENT SERVICES CORP.	LPL FINANCIAL LLC	Jan 15, 2008	Jan 17, 2008	2	Firm change	Other
BANC ONE SECURITIES CORPORATION	CHASE INVESTMENT SERVICES CORP.	Jul 6, 2005	Jul 6, 2005	0	Bulk transfer	Other
AMERIPRISE FINANCIAL SERVICES, LLC	BANC ONE SECURITIES CORPORATION	Mar 1, 2005	Feb 25, 2005	-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
6413:6363:TX:2021-12-03	Dec 3, 2021	Dec 1, 2021	GREENVILLE, TX	Firm change

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Mar 13, 2003 to Mar 1, 2005factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Oct 7, 2021 to Dec 3, 2021factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Jul 6, 2005 to Jan 15, 2008factForm ADV
→ BANC ONE SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Feb 25, 2005 to Jul 6, 2005factForm ADV

Dated events

No dated event names this entity yet.