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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

JAMES MICHAEL KENNEDY

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Alpharetta, GA

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Search this name across graphsid dfx:ria:79f13bba-e0e3-cb71-8ac2-e8a66d336c05

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 30, 2003 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: Jan 25, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Jan 25, 2002
First registration: Jan 30, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 2558372

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	Sep 9, 2016	n/a	yes	Alpharetta, GA\|Alpharetta, GA	Current employment
TRANSAMERICA FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Nov 13, 2012	Oct 20, 2014	no	ALPHARETTA, GA\|RICHMOND, VA\|ALPHARETTA, GA\|ATHENS, GA	Previous registration
NORTH POINT FINANCIAL ADVISORS, INC.	n/a	Jun 21, 2004	Dec 18, 2012	no	ALPHARETTA, GA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jan 30, 2003	Jul 6, 2004	no	ALPHARETTA, GA	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
TRANSAMERICA FINANCIAL ADVISORS, LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Oct 20, 2014	Sep 9, 2016	690	Firm change after gap	Other
NORTH POINT FINANCIAL ADVISORS, INC.	TRANSAMERICA FINANCIAL ADVISORS, LLC	Dec 18, 2012	Nov 13, 2012	-35	Firm change after gap	Other
AMERIPRISE FINANCIAL SERVICES, LLC	NORTH POINT FINANCIAL ADVISORS, INC.	Jul 6, 2004	Jun 21, 2004	-15	Firm change	Other

Relationships

Registered with (3)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jan 30, 2003 to Jul 6, 2004factForm ADV
→ TRANSAMERICA FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Nov 13, 2012 to Oct 20, 2014factForm ADV
→ NORTH POINT FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Jun 21, 2004 to Dec 18, 2012factForm ADV

Dated events

No dated event names this entity yet.