DFX Intelligence

Data Factory

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

Stephen Smith

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Walker, LA | Baton Rouge, LA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:db6eaf66-382d-4a56-7699-d28ade20be7b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 30, 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: Mar 27, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Mar 27, 2009
First registration: Mar 30, 2009
Dual registered: yes, broker-dealer
Other names: STEVE CARROLL SMITH|STEPHEN C SMITH|STEPHEN C SMITH
IAPD individual key: 5612103

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 18, 2022	n/a	yes	Baton Rouge, LA\|Walker, LA	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Mar 19, 2022	no	DENHAM SPRINGS, LA\|BATON ROUGE, LA\|BATON ROUGE, LA\|BATON ROUGE, LA\|BATON ROUGE, LA\|BATON ROUGE, LA\|Baton Rouge, LA\|BATON ROUGE, LA\|BATON ROUGE, LA\|BATON ROUGE, LA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Dec 7, 2010	Oct 1, 2012	no	BATON ROUGE, LA\|BATON ROUGE, LA\|DENHAM SPRINGS, LA\|BATON ROUGE, LA	Previous registration
EDWARD JONES	National bd RIA	Mar 30, 2009	Nov 26, 2010	no	ST LOUIS, MO\|DENHAM SPRINGS, LA	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
J.P. MORGAN SECURITIES LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Mar 19, 2022	Mar 18, 2022	-1	Firm change	Wirehouse to ibd
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
EDWARD JONES	CHASE INVESTMENT SERVICES CORP.	Nov 26, 2010	Dec 7, 2010	11	Firm change	Other

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Mar 18, 2022 to presentfactForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Mar 19, 2022factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Dec 7, 2010 to Oct 1, 2012factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Mar 30, 2009 to Nov 26, 2010factForm ADV

Dated events

Occurred
Mar 19, 2022
Advisor changed firm
Stephen Smith left J.P. Morgan Securities Llc for Ameriprise Financial Services, Llc (registered 2022-03-18)
Form ADVobserved 4 days ago