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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

Toby Marshall Johnston

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Nixa, MO

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Search this name across graphsid dfx:ria:ac419179-919c-cf35-11e0-bba151a041aa

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Mar 5, 2010 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: Jun 21, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jun 21, 2007
First registration: Mar 5, 2010
Dual registered: yes, broker-dealer
Other names: TOBY MARSHALL JOHNSTON|Toby M Johnston|Toby Johnston|Toby M. Johnston
IAPD individual key: 5277666

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 11, 2026	n/a	yes	Nixa, MO	Current employment
PLANMEMBER SECURITIES CORPORATION	Independent wealth	Apr 2, 2025	Sep 8, 2026	no	Kansas City, MO\|Carpinteria, CA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jan 31, 2019	Apr 15, 2024	no	PARSONS, KS	Previous registration
THRIVENT INVESTMENT MANAGEMENT INC.	Bd affiliated wealth	Sep 8, 2017	Jan 8, 2019	no	Joplin, MO\|Overland Park, KS	Previous registration
CETERA ADVISORS LLC	Former SEC adviser	Aug 9, 2013	Sep 8, 2017	no	OVERLAND PARK, KS\|JOPLIN, MO	Previous registration
COMMERCE BROKERAGE SERVICES, INC	Former SEC adviser	Mar 5, 2010	Aug 12, 2013	no	PITTSBURG, KS\|ST. LOUIS, MO\|JOPLIN, MO	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
PLANMEMBER SECURITIES CORPORATION	AMERIPRISE FINANCIAL SERVICES, LLC	Sep 8, 2026	Sep 11, 2026	3	Firm change	RIA to ibd
LPL FINANCIAL LLC	PLANMEMBER SECURITIES CORPORATION	Apr 15, 2024	Apr 2, 2025	352	Firm change	Ibd to RIA
THRIVENT INVESTMENT MANAGEMENT INC.	LPL FINANCIAL LLC	Jan 8, 2019	Jan 31, 2019	23	Firm change	Ibd to RIA
CETERA ADVISORS LLC	THRIVENT INVESTMENT MANAGEMENT INC.	Sep 8, 2017	Sep 8, 2017	0	Firm change	Other
COMMERCE BROKERAGE SERVICES, INC	CETERA ADVISORS LLC	Aug 12, 2013	Aug 9, 2013	-3	Firm change	Other

Relationships

Registered with (6)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Sep 11, 2026 to presentfactForm ADV
→ PLANMEMBER SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Apr 2, 2025 to Sep 8, 2026factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jan 31, 2019 to Apr 15, 2024factForm ADV
→ THRIVENT INVESTMENT MANAGEMENT INC.Registered adviserregistration: previous registration
Sep 8, 2017 to Jan 8, 2019factForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Aug 9, 2013 to Sep 8, 2017factForm ADV
→ COMMERCE BROKERAGE SERVICES, INCRegistered adviserregistration: previous registration
Mar 5, 2010 to Aug 12, 2013factForm ADV

Dated events

Occurred
Sep 8, 2026
Advisor changed firm
Toby Marshall Johnston left Planmember Securities Corporation for Ameriprise Financial Services, Llc (registered 2026-09-11)
Form ADVobserved 6 days ago
Occurred
Apr 15, 2024
Advisor changed firm
Toby Marshall Johnston left Lpl Financial Llc for Planmember Securities Corporation (registered 2025-04-02)
Form ADVobserved 6 days ago