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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

CARL DAVID LEWIS

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Houston, TX

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Search this name across graphsid dfx:ria:cec9650b-07f3-e984-8b03-fcc741b31246

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 11, 2008 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: Aug 29, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Aug 29, 1994
First registration: Aug 11, 2008
Dual registered: yes, broker-dealer
Other names: David Lewis|CARL D LEWIS|C. David Lewis|David Lewis|CARL David LEWIS|Carl David Lewis
IAPD individual key: 1577438

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, 2023	n/a	yes	Houston, TX\|Houston, TX	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 14, 2017	Nov 29, 2023	no	HOUSTON, TX\|HOUSTON, TX\|ALLEN, TX	Previous registration
NEXT FINANCIAL GROUP, INC.	Former SEC adviser	Sep 9, 2008	Jul 17, 2017	no	HOUSTON, TX\|HOUSTON, TX	Previous registration
WORLD CHOICE SECURITIES, INC.	State registered	Aug 11, 2008	Sep 10, 2008	no	Euless, TX\|HOUSTON, TX	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	Nov 29, 2023	Nov 16, 2023	-13	Firm change	Ibd to ibd
NEXT FINANCIAL GROUP, INC.	LPL FINANCIAL LLC	Jul 17, 2017	Jul 14, 2017	-3	Firm change	Other
WORLD CHOICE SECURITIES, INC.	NEXT FINANCIAL GROUP, INC.	Sep 10, 2008	Sep 9, 2008	-1	Firm change	Other

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Nov 16, 2023 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jul 14, 2017 to Nov 29, 2023factForm ADV
→ NEXT FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Sep 9, 2008 to Jul 17, 2017factForm ADV
→ WORLD CHOICE SECURITIES, INC.Registered adviserregistration: previous registration
Aug 11, 2008 to Sep 10, 2008factForm ADV

Dated events

Occurred
Nov 29, 2023
Advisor changed firm
Carl David Lewis left Lpl Financial Llc for Ameriprise Financial Services, Llc (registered 2023-11-16)
Form ADVobserved 5 days ago