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RIA / WealthAdvisordual registered (broker-dealer)46 years in industry

JAMES PATRICK KIRWAN

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

San Jose, CA | El Dorado Hills, CA

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Search this name across graphsid dfx:ria:8792a0d4-0841-c203-e8e0-86d634f37c47

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
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: Nov 5, 1979earliest registration or exam on IAPD
Years in industry: 46derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Nov 5, 1979
First registration: Jul 8, 1997
Dual registered: yes, broker-dealer
Other names: JAMES PATRICK ROBERTS|JIM KIRWAN
IAPD individual key: 816890

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	Oct 23, 2020	n/a	yes	San Jose, CA\|El Dorado Hills, CA	Current employment
WELLS FARGO ADVISORS	Wirehouse	Jan 20, 2011	Oct 26, 2020	no	SAN JOSE, CA\|FOLSOM, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Nov 9, 2007	Jan 31, 2011	no	SAN JOSE, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jul 8, 1997	Nov 20, 2007	no	SAN JOSE, CA\|SAN JOSE, 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
WELLS FARGO ADVISORS	AMERIPRISE FINANCIAL SERVICES, LLC	Oct 26, 2020	Oct 23, 2020	-3	Firm change	Wirehouse to ibd
UBS FINANCIAL SERVICES INC.	WELLS FARGO ADVISORS	Jan 31, 2011	Jan 20, 2011	-11	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	UBS FINANCIAL SERVICES INC.	Nov 20, 2007	Nov 9, 2007	-11	Firm change	Other

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Oct 23, 2020 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 20, 2011 to Oct 26, 2020factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Nov 9, 2007 to Jan 31, 2011factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jul 8, 1997 to Nov 20, 2007factForm ADV

Dated events

No dated event names this entity yet.