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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)15 years in industry

SHIRI Mae Ayalon

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Cincinnati, OH

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Search this name across graphsid dfx:ria:c70629c1-9f88-1edc-8ec2-66ef06f33817

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 7, 2011 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: Jan 7, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Oct 5, 2011
First registration: Jan 7, 2011
Dual registered: yes, broker-dealer
Other names: SHIRI RANDOLPH|SHIRI AYALON|SHIRI AYALON|SHIRI AYALON GROTE|SHIRI Mae Ayalon|SHIRI AYALON GROTE
IAPD individual key: 4898977

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 16, 2018	n/a	yes	Cincinnati, OH\|Cincinnati, OH	Current employment
SPECTRUM FINANCIAL SOLUTIONS, INC.	n/a	Oct 25, 2017	Nov 14, 2018	no	CINCINNATI, OH	Previous registration
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Jan 17, 2013	Aug 24, 2017	no	Cincinnati, OH\|Minneapolis, MN	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jan 7, 2011	Nov 9, 2012	no	CINCINNATI, OH	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
SPECTRUM FINANCIAL SOLUTIONS, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Nov 14, 2018	Nov 16, 2018	2	Firm change	Other
U.S. BANCORP INVESTMENTS, INC.	SPECTRUM FINANCIAL SOLUTIONS, INC.	Aug 24, 2017	Oct 25, 2017	62	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	U.S. BANCORP INVESTMENTS, INC.	Nov 9, 2012	Jan 17, 2013	69	Firm change	Other

Relationships

Registered with (3)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jan 7, 2011 to Nov 9, 2012factForm ADV
→ SPECTRUM FINANCIAL SOLUTIONS, INC.Registered adviserregistration: previous registration
Oct 25, 2017 to Nov 14, 2018factForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Jan 17, 2013 to Aug 24, 2017factForm ADV

Dated events

No dated event names this entity yet.