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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

JAMES PAUL URBONAS

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Greenwood Village, CO | Englewood, CO

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Search this name across graphsid dfx:ria:728c614b-fb6b-4b95-c63e-27807aec9b5a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jul 8, 1997 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: Apr 25, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Apr 25, 1996
First registration: Jul 8, 1997
Dual registered: yes, broker-dealer
Other names: JAMES P URBONAS|JAMES URBONAS
IAPD individual key: 2728393

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	Feb 5, 2024	n/a	yes	Greenwood Village, CO\|Englewood, CO	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	May 5, 2010	Feb 12, 2024	no	SAN FRANCISCO, CA\|SAN DIEGO, CA\|ENGLEWOOD, CO	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	May 7, 2010	no	San Francisco, CA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	SAN FRANCISCO, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Apr 8, 2004	Apr 2, 2007	no	SAN FRANCISCO, CA\|SAN FRANCISC, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jul 8, 1997	Apr 22, 2004	no	SAN FRANCISCO, CA	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	Feb 12, 2024	Feb 5, 2024	-7	Firm change	Ibd to ibd
MORGAN STANLEY	LPL FINANCIAL LLC	May 7, 2010	May 5, 2010	-2	Firm change	Other
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	MORGAN STANLEY DW INC.	Apr 22, 2004	Apr 8, 2004	-14	Firm change	Other

Relationships

Registered with (6)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Feb 5, 2024 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 5, 2010 to Feb 12, 2024factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to May 7, 2010factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Apr 8, 2004 to Apr 2, 2007factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jul 8, 1997 to Apr 22, 2004factForm ADV

Dated events

Occurred
Feb 12, 2024
Advisor changed firm
James Paul Urbonas left Lpl Financial Llc for Ameriprise Financial Services, Llc (registered 2024-02-05)
Form ADVobserved 4 days ago