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

Aug 22, 1996earliest registration or exam on IAPD

Years in industry

30derivedfrom the industry start date

Years at current firm

8derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

2

Exams

S63

First exam

Aug 23, 1996

First registration

Aug 22, 1996

Dual registered

yes, broker-dealer

Other names

CHRIS WHALEY|CHRISTOPHER WHALEY

IAPD individual key

2764158

Graph

RIA / Wealth Management

Canonical id

dfx:ria:e38518d4-2a86-9c4c-c237-0627bc6bc870

First observed

Aug 22, 1996

Last observed

Sep 15, 2026 6 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.