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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

LISA MARIE BOSCO

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Sarasota, FL

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Search this name across graphsid dfx:ria:8b8052e2-68a1-d3c0-8657-e420da65cab6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 2, 2006 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: May 19, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: May 19, 2006
First registration: Aug 2, 2006
Dual registered: yes, broker-dealer
Other names: LISA MARIE FINKEL
IAPD individual key: 5071021

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 10, 2018	n/a	yes	Sarasota, FL\|Sarasota, FL	Current employment
WELLS FARGO ADVISORS	Wirehouse	Feb 22, 2011	Jul 27, 2012	no	HADDON TOWNSHIP, NJ	Previous registration
OGILVIE SECURITY ADVISORS CORP	Former SEC adviser	Dec 22, 2010	Dec 31, 2010	no	VORHEES, NJ\|CHICAGO, IL	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Aug 2, 2006	Dec 31, 2008	no	MT. LAUREL, NJ	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	Jul 27, 2012	Sep 10, 2018	2,236	Firm change after gap	Wirehouse to ibd
OGILVIE SECURITY ADVISORS CORP	WELLS FARGO ADVISORS	Dec 31, 2010	Feb 22, 2011	53	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	OGILVIE SECURITY ADVISORS CORP	Dec 31, 2008	Dec 22, 2010	721	Firm change after gap	Other

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Sep 10, 2018 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Feb 22, 2011 to Jul 27, 2012factForm ADV
→ OGILVIE SECURITY ADVISORS CORPRegistered adviserregistration: previous registration
Dec 22, 2010 to Dec 31, 2010factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Aug 2, 2006 to Dec 31, 2008factForm ADV

Dated events

No dated event names this entity yet.