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Advisor at AMERIPRISE FINANCIAL SERVICES, LLC
Millsboro, DE | Milton, DE
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| AMERIPRISE FINANCIAL SERVICES, LLC | National bd RIA | Aug 26, 2025 | n/a | yes | Millsboro, DE|Milton, DE | Current employment |
| COMMONWEALTH FINANCIAL NETWORK | National bd RIA | Jun 12, 2023 | Sep 11, 2025 | no | Milton, DE | Previous registration |
| CETERA INVESTMENT ADVISERS LLC | Bd affiliated wealth | Nov 12, 2020 | Dec 31, 2021 | no | MILFORD, DE | Previous registration |
| FIRST ALLIED ADVISORY SERVICES, INC. | Former SEC adviser | Jul 2, 2012 | Nov 12, 2020 | no | MILFORD, DE | Previous registration |
| FIRST ALLIED SECURITIES, INC. | Former SEC adviser | Feb 23, 2009 | Jul 2, 2012 | no | MILFORD, DE|SAN DIEGO, CA | Previous registration |
| SAGEPOINT FINANCIAL, INC. | Former SEC adviser | Oct 31, 2008 | Feb 27, 2009 | no | MILFORD, DE | Previous registration |
| AMERICAN GENERAL SECURITIES INCORPORATED | n/a | Jul 21, 2005 | Oct 31, 2008 | no | MILFORD, DE|MILFORD, DE|MILFORD, DE|HOUSTON, TX|GREENVILLE, DE | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| COMMONWEALTH FINANCIAL NETWORK | AMERIPRISE FINANCIAL SERVICES, LLC | Sep 11, 2025 | Aug 26, 2025 | -16 | Firm change | Ibd to ibd |
| CETERA INVESTMENT ADVISERS LLC | COMMONWEALTH FINANCIAL NETWORK | Dec 31, 2021 | Jun 12, 2023 | 528 | Firm change after gap | Ibd to ibd |
| FIRST ALLIED ADVISORY SERVICES, INC. | CETERA INVESTMENT ADVISERS LLC | Nov 12, 2020 | Nov 12, 2020 | 0 | Bulk transfer | Ibd to ibd |
| FIRST ALLIED SECURITIES, INC. | FIRST ALLIED ADVISORY SERVICES, INC. | Jul 2, 2012 | Jul 2, 2012 | 0 | Bulk transfer | Other |
| SAGEPOINT FINANCIAL, INC. | FIRST ALLIED SECURITIES, INC. | Feb 27, 2009 | Feb 23, 2009 | -4 | Firm change | Other |
| AMERICAN GENERAL SECURITIES INCORPORATED | SAGEPOINT FINANCIAL, INC. | Oct 31, 2008 | Oct 31, 2008 | 0 | Bulk transfer | Other |