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, 2014earliest registration or exam on IAPD

Years in industry

12derivedfrom the industry start date

Years at current firm

2derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

2

Exams

S66

First exam

Mar 9, 2020

First registration

Mar 9, 2020

Dual registered

yes, broker-dealer

Other names

Mary Orthmann|Mary Alice Orthmann|Mary Alice Sani

IAPD individual key

6406237

• Occurred

  Nov 24, 2023
  Advisor changed firm

  Mary Sani left Rbc Capital Markets, Llc for Ameriprise Financial Services, Llc (registered 2023-11-03)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:bebe1dde-ddaf-85d5-4f33-cf51555f4810

First observed

Mar 9, 2020

Last observed

Sep 14, 2026 6 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.