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

Sep 1, 2015earliest registration or exam on IAPD

Years in industry

11derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

1

Exams

S66

First exam

Jan 29, 2025

First registration

May 30, 2025

Dual registered

yes, broker-dealer

Other names

Chris Whittaker|Yoko Whittaker

IAPD individual key

7843684

• Occurred

  Apr 17, 2026
  Advisor changed firm

  Yoko Chris Whittaker left Equitable Advisors, Llc for Ameriprise Financial Services, Llc (registered 2026-05-14)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:dfa0cf89-9343-b19b-9fb8-3da455e20ec3

First observed

May 30, 2025

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.