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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

Shane Davis

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

ALLENTOWN, PA | Northampton, PA

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Search this name across graphsid dfx:ria:8c2232a1-b0f6-08a0-ee17-04e7d7ebb4a6

Data as of Sep 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 5
On other graphs: 0
Observed: Nov 25, 2019 to Sep 17, 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: Mar 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Feb 26, 2016
First registration: Nov 25, 2019
Dual registered: yes, broker-dealer
Other names: SHANE N DAVIS|SHANE NATHANEAL DAVIS|SHANE DAVIS
IAPD individual key: 4996196

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 4, 2026	n/a	yes	ALLENTOWN, PA\|Northampton, PA	Current employment
LPL ENTERPRISE, LLC	Bd affiliated wealth	Apr 18, 2025	n/a	yes	WARRINGTON, PA	Current employment
LPL ENTERPRISE, LLC	Bd affiliated wealth	Apr 17, 2025	Sep 16, 2026	no	WARRINGTON, PA	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Jun 28, 2024	Apr 14, 2025	no	Allentown, PA	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Jun 28, 2024	Apr 14, 2025	no	Allentown, PA	Previous registration
PARK AVENUE SECURITIES LLC	Bd affiliated wealth	Oct 12, 2022	May 15, 2024	no	LANCASTER, PA\|ALLENTOWN, PA	Previous registration
PARK AVENUE SECURITIES LLC	Bd affiliated wealth	Oct 12, 2022	May 15, 2024	no	LANCASTER, PA\|ALLENTOWN, PA	Previous registration
ELEVATED CAPITAL ADVISORS, LLC	Independent wealth	Jul 13, 2022	Sep 27, 2022	no	Northampton, PA\|DRAPER, UT	Previous registration
ELEVATED CAPITAL ADVISORS, LLC	Independent wealth	Jul 13, 2022	Sep 27, 2022	no	DRAPER, UT\|Northampton, PA	Previous registration
GWN SECURITIES INC.	Bd affiliated wealth	Jun 16, 2021	Jan 3, 2022	no	WAYNE, PA\|PALM BEACH GARDENS, FL\|PALM BEACH GARDENS, FL	Previous registration
GWN SECURITIES INC.	Bd affiliated wealth	Jun 16, 2021	Jan 3, 2022	no	PALM BEACH GARDENS, FL\|PALM BEACH GARDENS, FL\|WAYNE, PA	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Jul 30, 2020	Mar 30, 2021	no	EDISON, NJ\|PARAMUS, NJ	Previous registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.	Independent wealth	Nov 25, 2019	May 5, 2020	no	BETHLEHEM, PA\|BLUE BELL, PA	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 ENTERPRISE, LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Sep 16, 2026	Sep 4, 2026	-12	Firm change	Ibd to ibd
MML INVESTORS SERVICES, LLC	LPL ENTERPRISE, LLC	Apr 14, 2025	Apr 17, 2025	3	Firm change	Ibd to ibd
PARK AVENUE SECURITIES LLC	MML INVESTORS SERVICES, LLC	May 15, 2024	Jun 28, 2024	44	Firm change	Ibd to ibd
ELEVATED CAPITAL ADVISORS, LLC	PARK AVENUE SECURITIES LLC	Sep 27, 2022	Oct 12, 2022	15	Firm change	RIA to ibd
GWN SECURITIES INC.	ELEVATED CAPITAL ADVISORS, LLC	Jan 3, 2022	Jul 13, 2022	191	Firm change	Ibd to RIA
PRUCO SECURITIES, LLC	GWN SECURITIES INC.	Mar 30, 2021	Jun 16, 2021	78	Firm change	Ibd to ibd
MUTUAL OF OMAHA INVESTOR SERVICES, INC.	PRUCO SECURITIES, LLC	May 5, 2020	Jul 30, 2020	86	Firm change	Other

Relationships

Registered with (8)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Sep 4, 2026 to presentfactForm ADV
→ LPL ENTERPRISE, LLCRegistered adviserregistration: current employment
Apr 18, 2025 to presentfactForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Jun 28, 2024 to Apr 14, 2025factForm ADV
→ PARK AVENUE SECURITIES LLCRegistered adviserregistration: previous registration
Oct 12, 2022 to May 15, 2024factForm ADV
→ ELEVATED CAPITAL ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 13, 2022 to Sep 27, 2022factForm ADV
→ GWN SECURITIES INC.Registered adviserregistration: previous registration
Jun 16, 2021 to Jan 3, 2022factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Jul 30, 2020 to Mar 30, 2021factForm ADV
→ MUTUAL OF OMAHA INVESTOR SERVICES, INC.Registered adviserregistration: previous registration
Nov 25, 2019 to May 5, 2020factForm ADV

Dated events

Occurred
Sep 16, 2026
Advisor changed firm
Shane Davis left LPL Enterprise, LLC for Ameriprise Financial Services, LLC (registered 2026-09-04)
Form ADVobserved 4 days ago
Occurred
Apr 14, 2025
Advisor changed firm
Shane Davis left Mml Investors Services, Llc for Lpl Enterprise, Llc (registered 2025-04-18)
Form ADVobserved 6 days ago
Occurred
May 15, 2024
Advisor changed firm
Shane Davis left Park Avenue Securities Llc for Mml Investors Services, Llc (registered 2024-06-28)
Form ADVobserved 6 days ago
Occurred
Sep 27, 2022
Advisor changed firm
Shane Davis left Elevated Capital Advisors, Llc for Park Avenue Securities Llc (registered 2022-10-12)
Form ADVobserved 6 days ago
Occurred
Jan 3, 2022
Advisor changed firm
Shane Davis left Gwn Securities Inc. for Elevated Capital Advisors, Llc (registered 2022-07-13)
Form ADVobserved 6 days ago