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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

THOMAS ALAN TAYLOR

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Loveland, OH | Cincinnati, OH

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Search this name across graphsid dfx:ria:ea934fb7-9940-10b8-ed9a-4326342f0efe

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 21, 2003 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: Jul 30, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Jul 30, 1993
First registration: Mar 21, 2003
Dual registered: yes, broker-dealer
Other names: TOM TAYLOR
IAPD individual key: 2373630

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 24, 2020	n/a	yes	Cincinnati, OH\|Loveland, OH	Current employment
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Nov 21, 2007	Jul 30, 2020	no	CINCINNATI, OH\|CINCINNATI, OH\|CINCINNATI, OH\|FAIRFIELD, OH\|FAIRFIELD, OH\|FAIRFIELD, OH\|CINCINNATI, OH\|CINCINNATI, OH\|FAIRFIELD, OH\|FAIRFIELD, OH\|CINCINNATI, OH\|CINCINNATI, OH\|CINCINNATI, OH	Previous registration
FIFTH THIRD SECURITIES, INC.	Bd affiliated wealth	Nov 22, 2004	Sep 27, 2007	no	CINCINNATI, OH\|CINCINNATI, OH\|CINCINNATI, OH\|CINCINNATI, OH\|CINCINNATI, OH	Previous registration
BANC ONE SECURITIES CORPORATION	n/a	Mar 21, 2003	Apr 29, 2003	no	FLORENCE, 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
PNC WEALTH MANAGEMENT	AMERIPRISE FINANCIAL SERVICES, LLC	Jul 30, 2020	Jul 24, 2020	-6	Firm change	Ibd to ibd
FIFTH THIRD SECURITIES, INC.	PNC WEALTH MANAGEMENT	Sep 27, 2007	Nov 21, 2007	55	Firm change	Other
BANC ONE SECURITIES CORPORATION	FIFTH THIRD SECURITIES, INC.	Apr 29, 2003	Nov 22, 2004	573	Firm change after gap	Other

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Jul 24, 2020 to presentfactForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Nov 21, 2007 to Jul 30, 2020factForm ADV
→ FIFTH THIRD SECURITIES, INC.Registered adviserregistration: previous registration
Nov 22, 2004 to Sep 27, 2007factForm ADV
→ BANC ONE SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Mar 21, 2003 to Apr 29, 2003factForm ADV

Dated events

No dated event names this entity yet.