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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

STEVEN ALLEN HORSLEY

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Mason, OH | Cincinnati, OH

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Search this name across graphsid dfx:ria:d942b30e-3738-c19f-1caf-a141c14ce77b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jan 14, 2003 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: Jul 1, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Feb 5, 2001
First registration: Jan 14, 2003
Dual registered: yes, broker-dealer
Other names: Steve Allen Horsley
IAPD individual key: 2656232

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	Jul 18, 2024	n/a	yes	Mason, OH\|Cincinnati, OH	Current employment
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Jun 16, 2023	Jun 18, 2024	no	CINCINNATI, OH\|Mason, OH	Previous registration
BROOKSTONE CAPITAL MANAGEMENT LLC	Independent wealth	Dec 3, 2019	Apr 18, 2023	no	Mason, OH\|WHEATON, IL\|Mason, OH	Previous registration
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Dec 4, 2018	Jun 7, 2019	no	Cincinnati, OH	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Jan 14, 2003	Aug 7, 2017	no	COVINGTON, KY	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
MML INVESTORS SERVICES, LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Jun 18, 2024	Jul 18, 2024	30	Firm change	Ibd to ibd
BROOKSTONE CAPITAL MANAGEMENT LLC	MML INVESTORS SERVICES, LLC	Apr 18, 2023	Jun 16, 2023	59	Firm change	RIA to ibd
U.S. BANCORP INVESTMENTS, INC.	BROOKSTONE CAPITAL MANAGEMENT LLC	Jun 7, 2019	Dec 3, 2019	179	Firm change	Ibd to RIA
STRATEGIC ADVISERS LLC	U.S. BANCORP INVESTMENTS, INC.	Aug 7, 2017	Dec 4, 2018	484	Firm change after gap	Ibd to ibd

Relationships

Registered with (5)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Jul 18, 2024 to presentfactForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Jun 16, 2023 to Jun 18, 2024factForm ADV
→ BROOKSTONE CAPITAL MANAGEMENT LLCRegistered adviserregistration: previous registration
Dec 3, 2019 to Apr 18, 2023factForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Dec 4, 2018 to Jun 7, 2019factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Jan 14, 2003 to Aug 7, 2017factForm ADV

Dated events

Occurred
Jun 18, 2024
Advisor changed firm
Steven Allen Horsley left Mml Investors Services, Llc for Ameriprise Financial Services, Llc (registered 2024-07-18)
Form ADVobserved 5 days ago
Occurred
Apr 18, 2023
Advisor changed firm
Steven Allen Horsley left Brookstone Capital Management Llc for Mml Investors Services, Llc (registered 2023-06-16)
Form ADVobserved 5 days ago