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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

STEPHEN JAMES PATTERSON

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

WESTLAKE VILLAGE, CA | Indian Wells, CA

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Search this name across graphsid dfx:ria:7de0f7a1-e445-f4c7-26a3-e55f8998428f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jul 27, 2004 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: Jun 4, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Jun 4, 1993
First registration: Jul 27, 2004
Dual registered: yes, broker-dealer
Other names: STEPHEN JAMES PATTERSON
IAPD individual key: 1334801

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 15, 2023	n/a	yes	WESTLAKE VILLAGE, CA\|Indian Wells, CA	Current employment
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Sep 21, 2015	Sep 27, 2023	no	WOODLAND HILLS, CA\|Indian Wells, CA	Previous registration
D.A. DAVIDSON & CO.	Independent wealth	Nov 25, 2013	Sep 14, 2015	no	WESTLAKE VILLAGE, CA	Previous registration
CROWELL WEEDON & CO.	Former SEC adviser	Nov 4, 2013	Nov 25, 2013	no	WESTLAKE VILLAGE, CA	Previous registration
CROWELL, WEEDON & CO.	Former SEC adviser	May 12, 2009	Nov 4, 2013	no	WESTLAKE VILLAGE, CA\|ENCINO, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 27, 2004	May 11, 2009	no	ENCINO, CA\|ENCINO, 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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	AMERIPRISE FINANCIAL SERVICES, LLC	Sep 27, 2023	Sep 15, 2023	-12	Firm change	Ibd to ibd
D.A. DAVIDSON & CO.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Sep 14, 2015	Sep 21, 2015	7	Firm change	Other
CROWELL WEEDON & CO.	D.A. DAVIDSON & CO.	Nov 25, 2013	Nov 25, 2013	0	Bulk transfer	Other
CROWELL, WEEDON & CO.	CROWELL WEEDON & CO.	Nov 4, 2013	Nov 4, 2013	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CROWELL, WEEDON & CO.	May 11, 2009	May 12, 2009	1	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
199:149018:CA:2015-09-14	Sep 14, 2015	Sep 21, 2015	WESTLAKE VILLAGE, CA	Firm change

Relationships

Registered with (6)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Sep 15, 2023 to presentfactForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Sep 21, 2015 to Sep 27, 2023factForm ADV
→ D.A. DAVIDSON & CO.Registered adviserregistration: previous registration
Nov 25, 2013 to Sep 14, 2015factForm ADV
→ CROWELL WEEDON & CO.Registered adviserregistration: previous registration
Nov 4, 2013 to Nov 25, 2013factForm ADV
→ CROWELL, WEEDON & CO.Registered adviserregistration: previous registration
May 12, 2009 to Nov 4, 2013factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 27, 2004 to May 11, 2009factForm ADV

Dated events

Occurred
Sep 27, 2023
Advisor changed firm
Stephen James Patterson left Raymond James Financial Services Advisors, Inc for Ameriprise Financial Services, Llc (registered 2023-09-15)
Form ADVobserved 6 days ago