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.

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

Sep 1, 2016earliest registration or exam on IAPD

Years in industry

10derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

2

Exams

S66

First exam

Apr 6, 2017

First registration

Apr 11, 2017

Dual registered

yes, broker-dealer

IAPD individual key

6689550

• Occurred

  Sep 14, 2026
  Advisor changed firm

  Colin Gates left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Ameriprise Financial Services, LLC (registered 2026-09-11)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:be07d9da-662a-c05d-75d6-63e1e0c48b3f

First observed

Apr 11, 2017

Last observed

Sep 15, 2026 5 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.