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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)20 years in industry

NICHOLAS P MOURA

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Glastonbury, CT | Mystic, CT

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Search this name across graphsid dfx:ria:9264e477-1efb-7892-53c2-c1ef7100a1a1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 3, 2007 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 27, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Jan 27, 2006
First registration: Feb 3, 2007
Dual registered: yes, broker-dealer
IAPD individual key: 4893738

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	Aug 20, 2025	n/a	yes	Glastonbury, CT\|Mystic, CT	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Nov 2, 2015	Sep 18, 2025	no	HARTFORD, CT\|NEW HAVEN, CT\|Newington, CT	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 17, 2010	Nov 3, 2015	no	NEW HAVEN, CT\|SOUTHBURY, CT	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Apr 9, 2009	Sep 23, 2010	no	WESTPORT, CT	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Feb 3, 2007	Apr 27, 2009	no	HARTFORD, CT\|WEST HARTFORD, CT\|WESTPORT, CT	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
UBS FINANCIAL SERVICES INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Sep 18, 2025	Aug 20, 2025	-29	Firm change	Wirehouse to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	UBS FINANCIAL SERVICES INC.	Nov 3, 2015	Nov 2, 2015	-1	Firm change	Wirehouse to wirehouse
UBS FINANCIAL SERVICES INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Sep 23, 2010	Sep 17, 2010	-6	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	UBS FINANCIAL SERVICES INC.	Apr 27, 2009	Apr 9, 2009	-18	Firm change	Other

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Aug 20, 2025 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Nov 2, 2015 to Sep 18, 2025factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 17, 2010 to Nov 3, 2015factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Feb 3, 2007 to Apr 27, 2009factForm ADV

Dated events

Occurred
Sep 18, 2025
Advisor changed firm
Nicholas P Moura left Ubs Financial Services Inc. for Ameriprise Financial Services, Llc (registered 2025-08-20)
Form ADVobserved 5 days ago