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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

MAURI DUANE HENDRICKSON

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Lake Havasu City, AZ | Newport Beach, CA

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Search this name across graphsid dfx:ria:c20c775a-29bc-dcd9-8c4f-4ae772b691bc

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Mar 26, 2002 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: Apr 17, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Apr 17, 1991
First registration: Mar 26, 2002
Dual registered: yes, broker-dealer
Other names: MAURI DUANE HENDICKSON|MAURI D HENDRICKSON
IAPD individual key: 2136257

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	May 3, 2024	n/a	yes	Lake Havasu City, AZ\|Newport Beach, CA	Current employment
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Sep 26, 2014	May 10, 2024	no	LAKE HAVASU CITY, AZ\|YORBA LINDA, CA\|NEWPORT BEACH, CA\|Lake Havasu City, AZ\|Lake Havasu City, AZ	Previous registration
WEDBUSH SECURITIES INC.	Bd affiliated wealth	Nov 25, 2008	Sep 29, 2014	no	LAKE HAVASU CITY, AZ\|YORBA LINDA, CA\|NEWPORT BEACH, CA\|YORBA LINDA, CA	Previous registration
CROWELL, WEEDON & CO.	Former SEC adviser	Dec 8, 2006	Nov 18, 2008	no	IRVINE, CA	Previous registration
SMART INVESTMENTS ADVISORY INCORPORATED	State registered	Apr 29, 2005	Dec 7, 2006	no	REDLANDS, CA\|LOS ANGELES, CA\|IRVINE, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Mar 26, 2002	May 2, 2005	no	BREA, 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
RAYMOND JAMES & ASSOCIATES, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	May 10, 2024	May 3, 2024	-7	Firm change	Ibd to ibd
WEDBUSH SECURITIES INC.	RAYMOND JAMES & ASSOCIATES, INC.	Sep 29, 2014	Sep 26, 2014	-3	Firm change	Other
CROWELL, WEEDON & CO.	WEDBUSH SECURITIES INC.	Nov 18, 2008	Nov 25, 2008	7	Firm change	Other
SMART INVESTMENTS ADVISORY INCORPORATED	CROWELL, WEEDON & CO.	Dec 7, 2006	Dec 8, 2006	1	Firm change	Other
MORGAN STANLEY DW INC.	SMART INVESTMENTS ADVISORY INCORPORATED	May 2, 2005	Apr 29, 2005	-3	Firm change	Other

Relationships

Registered with (6)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
May 3, 2024 to presentfactForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Sep 26, 2014 to May 10, 2024factForm ADV
→ WEDBUSH SECURITIES INC.Registered adviserregistration: previous registration
Nov 25, 2008 to Sep 29, 2014factForm ADV
→ CROWELL, WEEDON & CO.Registered adviserregistration: previous registration
Dec 8, 2006 to Nov 18, 2008factForm ADV
→ SMART INVESTMENTS ADVISORY INCORPORATEDRegistered adviserregistration: previous registration
Apr 29, 2005 to Dec 7, 2006factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Mar 26, 2002 to May 2, 2005factForm ADV

Dated events

Occurred
May 10, 2024
Advisor changed firm
Mauri Duane Hendrickson left Raymond James & Associates, Inc. for Ameriprise Financial Services, Llc (registered 2024-05-03)
Form ADVobserved 6 days ago