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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

Katherine Elizabeth Breitenstein

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Kettering, OH | Miamisburg, OH

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Search this name across graphsid dfx:ria:ce9d9886-a8c8-b01d-255f-5329dee982f2

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Feb 27, 2009 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: Feb 26, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Feb 26, 2009
First registration: Feb 27, 2009
Dual registered: yes, broker-dealer
Other names: KATIE SHIPMAN|KATHERINE ELIZABETH SHIPMAN
IAPD individual key: 5276571

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	Mar 25, 2019	n/a	yes	Miamisburg, OH\|Kettering, OH	Current employment
ON INVESTMENT MANAGEMENT CO	Bd affiliated wealth	Dec 16, 2016	Apr 11, 2017	no	CINCINNATI, OH	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Dec 13, 2011	Nov 29, 2016	no	Dayton, OH	Previous registration
FIFTH THIRD SECURITIES, INC.	Bd affiliated wealth	Jun 9, 2011	Dec 2, 2011	no	DAYTON, OH	Previous registration
DEAN FINANCIAL SERVICES	Independent wealth	Mar 14, 2011	Jun 21, 2011	no	BEAVERCREEK, OH	Previous registration
DEAN INVESTMENTS	Mixed wealth	Mar 14, 2011	Jun 21, 2011	no	BEAVERCREEK, OH	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Feb 27, 2009	Sep 20, 2010	no	Dayton, 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
ON INVESTMENT MANAGEMENT CO	AMERIPRISE FINANCIAL SERVICES, LLC	Apr 11, 2017	Mar 25, 2019	713	Firm change after gap	Other
AMERIPRISE FINANCIAL SERVICES, LLC	ON INVESTMENT MANAGEMENT CO	Nov 29, 2016	Dec 16, 2016	17	Firm change	Other
FIFTH THIRD SECURITIES, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Dec 2, 2011	Dec 13, 2011	11	Firm change	Other
DEAN INVESTMENTS	FIFTH THIRD SECURITIES, INC.	Jun 21, 2011	Jun 9, 2011	-12	Firm change	Other
DEAN FINANCIAL SERVICES	DEAN INVESTMENTS	Jun 21, 2011	Mar 14, 2011	-99	Firm change after gap	Other
AMERIPRISE FINANCIAL SERVICES, LLC	DEAN FINANCIAL SERVICES	Sep 20, 2010	Mar 14, 2011	175	Firm change	Other

Relationships

Registered with (5)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Dec 13, 2011 to Nov 29, 2016factForm ADV
→ ON INVESTMENT MANAGEMENT CORegistered adviserregistration: previous registration
Dec 16, 2016 to Apr 11, 2017factForm ADV
→ FIFTH THIRD SECURITIES, INC.Registered adviserregistration: previous registration
Jun 9, 2011 to Dec 2, 2011factForm ADV
→ DEAN INVESTMENTSRegistered adviserregistration: previous registration
Mar 14, 2011 to Jun 21, 2011factForm ADV
→ DEAN FINANCIAL SERVICESRegistered adviserregistration: previous registration
Mar 14, 2011 to Jun 21, 2011factForm ADV

Dated events

No dated event names this entity yet.