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

ERIN KATHLEEN O'BRIEN

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Leawood, KS | Olathe, KS

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Search this name across graphsid dfx:ria:ad5ffd16-d593-7612-d36f-d066a7b9f607

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jun 18, 2007 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: Jun 16, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Jun 16, 2007
First registration: Jun 18, 2007
Dual registered: yes, broker-dealer
Other names: ERIN KATHLEEN O'BRIEN|Erin K OBrien
IAPD individual key: 5217190

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	Nov 9, 2022	n/a	yes	Leawood, KS\|Olathe, KS	Current employment
WATERFRONT WEALTH INC.	Independent wealth	Jun 14, 2022	Nov 8, 2022	no	OVERLAND PARK, KS	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Nov 16, 2016	Oct 5, 2020	no	LEAWOOD, KS	Previous registration
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Apr 9, 2014	Oct 5, 2016	no	OVERLAND PARK, KS	Previous registration
JHS CAPITAL ADVISORS, LLC	Former SEC adviser	Jun 11, 2012	Feb 20, 2014	no	ARTESIA, NM\|TAMPA, FL\|LEAWOOD, KS	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Jun 18, 2007	May 18, 2012	no	LEAWOOD, KS	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
WATERFRONT WEALTH INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Nov 8, 2022	Nov 9, 2022	1	Firm change	RIA to ibd
WELLS FARGO ADVISORS	WATERFRONT WEALTH INC.	Oct 5, 2020	Jun 14, 2022	617	Firm change after gap	Wirehouse to RIA
COMMONWEALTH FINANCIAL NETWORK	WELLS FARGO ADVISORS	Oct 5, 2016	Nov 16, 2016	42	Firm change	Ibd to wirehouse
JHS CAPITAL ADVISORS, LLC	COMMONWEALTH FINANCIAL NETWORK	Feb 20, 2014	Apr 9, 2014	48	Firm change	Other
RBC CAPITAL MARKETS, LLC	JHS CAPITAL ADVISORS, LLC	May 18, 2012	Jun 11, 2012	24	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
11025:173220:KS:2020-10-05	Oct 5, 2020	Jun 14, 2022	LEAWOOD, KS	Firm change after gap

Relationships

Registered with (6)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Nov 9, 2022 to presentfactForm ADV
→ WATERFRONT WEALTH INC.Registered adviserregistration: previous registration
Jun 14, 2022 to Nov 8, 2022factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Nov 16, 2016 to Oct 5, 2020factForm ADV
→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: previous registration
Apr 9, 2014 to Oct 5, 2016factForm ADV
→ JHS CAPITAL ADVISORS, LLCRegistered adviserregistration: previous registration
Jun 11, 2012 to Feb 20, 2014factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Jun 18, 2007 to May 18, 2012factForm ADV

Dated events

Occurred
Nov 8, 2022
Advisor changed firm
Erin Kathleen O'Brien left Waterfront Wealth Inc. for Ameriprise Financial Services, Llc (registered 2022-11-09)
Form ADVobserved 6 days ago