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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

CHRISTOPHER MICHAEL LITTY

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Inglewood, CA | El Segundo, CA

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Search this name across graphsid dfx:ria:95f3bb88-4d79-a4c1-a6cc-fee137075a95

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 24, 2008 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: Dec 20, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Dec 20, 2002
First registration: Mar 24, 2008
Dual registered: yes, broker-dealer
Other names: CHRISTOPHER MICHAEL LITTY|CHRISTOPHER M. LITTY
IAPD individual key: 4612948

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 28, 2016	n/a	yes	El Segundo, CA\|Inglewood, CA	Current employment
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Aug 15, 2013	Nov 3, 2016	no	LOS ANGELES, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 23, 2009	Aug 16, 2013	no	LOS ANGELES, CA\|WESTLAKE VILLAGE, CA\|LOS ANGELES, CA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Mar 24, 2008	Oct 23, 2009	no	LOS ANGELES, CA\|LOS ANGELES, CA\|MALIBU, CA\|WESTLAKE VILLAGE, 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
OPPENHEIMER & CO. INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Nov 3, 2016	Oct 28, 2016	-6	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	OPPENHEIMER & CO. INC.	Aug 16, 2013	Aug 15, 2013	-1	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 23, 2009	Oct 23, 2009	0	Bulk transfer	Other

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Oct 28, 2016 to presentfactForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Aug 15, 2013 to Nov 3, 2016factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 23, 2009 to Aug 16, 2013factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Mar 24, 2008 to Oct 23, 2009factForm ADV

Dated events

No dated event names this entity yet.