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.

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 31, 1981earliest registration or exam on IAPD

Years in industry

45derivedfrom the industry start date

Years at current firm

5derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

2

Exams

S63

First exam

Mar 31, 1981

First registration

Jan 12, 1998

Dual registered

yes, broker-dealer

Other names

JOSEPH SULLIVAN|JOSEPH M SULLIVAN

IAPD individual key

723427

Graph

RIA / Wealth Management

Canonical id

dfx:ria:dd9f3e62-c3d1-967a-7b0b-5dedfefd8d23

First observed

Jan 12, 1998

Last observed

Sep 15, 2026 4 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.