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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

Doris T Caramello

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

San Diego, CA | Chula Vista, CA

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Search this name across graphsid dfx:ria:bf2967bf-a19e-a539-186f-0ed3f95892b7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Mar 9, 2006 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: Feb 10, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Feb 10, 2006
First registration: Mar 9, 2006
Dual registered: yes, broker-dealer
Other names: DORIS T CARAMELLO|Doris Caramello
IAPD individual key: 5060370

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	Aug 7, 2026	n/a	yes	Chula Vista, CA\|San Diego, CA	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Dec 19, 2025	Apr 23, 2026	no	SAN DIEGO, CA\|CHULA VISTA, CA	Previous registration
SORRENTO PACIFIC FINANCIAL, LLC	Former SEC adviser	Apr 25, 2016	Sep 4, 2025	no	SAN DIEGO, CA\|SAN DIEGO, CA	Previous registration
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	Apr 25, 2016	Dec 10, 2025	no	SAN DIEGO, CA\|SAN DIEGO, CA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 8, 2014	Nov 18, 2015	no	SAN DIEGO, CA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jun 11, 2007	Nov 21, 2012	no	FORT MILL, SC\|SAN DIEGO, CA\|FORT MILL, SC	Previous registration
MADISON AVENUE ADVISORS, INC.	n/a	Mar 9, 2006	Feb 28, 2007	no	SAN DIEGO, CA	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
LPL FINANCIAL LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Apr 23, 2026	Aug 7, 2026	106	Firm change	Ibd to ibd
CUSO FINANCIAL SERVICES, L.P.	LPL FINANCIAL LLC	Dec 10, 2025	Dec 19, 2025	9	Firm change	Ibd to ibd
SORRENTO PACIFIC FINANCIAL, LLC	CUSO FINANCIAL SERVICES, L.P.	Sep 4, 2025	Apr 25, 2016	-3,419	Channel change	Other
LPL FINANCIAL LLC	SORRENTO PACIFIC FINANCIAL, LLC	Nov 18, 2015	Apr 25, 2016	159	Firm change	Other
MADISON AVENUE ADVISORS, INC.	LPL FINANCIAL LLC	Feb 28, 2007	Jun 11, 2007	103	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
6413:6363:CA:2026-04-23	Apr 23, 2026	Aug 7, 2026	CHULA VISTA, CA	Firm change
42132:6413:CA:2025-12-10	Dec 10, 2025	Dec 19, 2025	SAN DIEGO, CA	Firm change

Relationships

Registered with (5)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Aug 7, 2026 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Dec 19, 2025 to Apr 23, 2026factForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserregistration: previous registration
Apr 25, 2016 to Dec 10, 2025factForm ADV
→ SORRENTO PACIFIC FINANCIAL, LLCRegistered adviserregistration: previous registration
Apr 25, 2016 to Sep 4, 2025factForm ADV
→ MADISON AVENUE ADVISORS, INC.Registered adviserregistration: previous registration
Mar 9, 2006 to Feb 28, 2007factForm ADV

Dated events

Occurred
Apr 23, 2026
Advisor changed firm
Doris T Caramello left Lpl Financial Llc for Ameriprise Financial Services, Llc (registered 2026-08-07)
Form ADVobserved 6 days ago
Occurred
Dec 10, 2025
Advisor changed firm
Doris T Caramello left Cuso Financial Services, L.P. for Lpl Financial Llc (registered 2025-12-19)
Form ADVobserved 6 days ago