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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

HEATH SCOTT BARTLETT

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Nashville, TN | Lexington, SC | Sarasota, FL

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Search this name across graphsid dfx:ria:bfbf2de7-477a-94c7-13c6-a39607df3c47

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 26, 2005 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: Mar 1, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 4
Exams: S66
First exam: Feb 21, 2003
First registration: Sep 26, 2005
Dual registered: yes, broker-dealer
Other names: Heath Bartlett
IAPD individual key: 4424586

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 2, 2017	n/a	yes	Lexington, SC\|Sarasota, FL\|Nashville, TN	Current employment
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Aug 8, 2011	Nov 2, 2017	no	WALTHAM, MA\|LEXINGTON, SC	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Dec 10, 2007	Jul 27, 2011	no	LEXINGTON, SC\|FORT MILL, SC\|LEXINGTON, SC	Previous registration
CIC ADVISERS, LLC	n/a	Sep 26, 2005	Dec 21, 2007	no	LEXINGTON, SC	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
COMMONWEALTH FINANCIAL NETWORK	AMERIPRISE FINANCIAL SERVICES, LLC	Nov 2, 2017	Nov 2, 2017	0	Firm change	Ibd to ibd
LPL FINANCIAL LLC	COMMONWEALTH FINANCIAL NETWORK	Jul 27, 2011	Aug 8, 2011	12	Firm change	Other
CIC ADVISERS, LLC	LPL FINANCIAL LLC	Dec 21, 2007	Dec 10, 2007	-11	Firm change	Other

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Nov 2, 2017 to presentfactForm ADV
→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: previous registration
Aug 8, 2011 to Nov 2, 2017factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Dec 10, 2007 to Jul 27, 2011factForm ADV
→ CIC ADVISERS, LLCRegistered adviserregistration: previous registration
Sep 26, 2005 to Dec 21, 2007factForm ADV

Dated events

No dated event names this entity yet.