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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

LYNN JAMES KAUFMAN

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Naperville, IL | Oak Brook, IL

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Search this name across graphsid dfx:ria:eb0d7d35-9c84-71ed-c13d-5dc6d60e7c68

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 13, 2008 to Sep 14, 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: Feb 11, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom 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: S63|S66
First exam: Feb 11, 1992
First registration: Oct 13, 2008
Dual registered: yes, broker-dealer
Other names: Lynn Kaufman
IAPD individual key: 2201405

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	Dec 8, 2021	n/a	yes	Oak Brook, IL\|Naperville, IL	Current employment
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	Bd affiliated wealth	Nov 11, 2011	Dec 7, 2021	no	MASON CITY, IA\|MASON CITY, IA\|Cedar Rapids, IA\|Naperville, IL	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jan 2, 2009	Nov 9, 2011	no	MASON CITY, IA	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	Oct 13, 2008	Jan 2, 2009	no	MASON CITY, IA	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
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Dec 7, 2021	Dec 8, 2021	1	Firm change	Ibd to ibd
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	Nov 9, 2011	Nov 11, 2011	2	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jan 2, 2009	Jan 2, 2009	0	Bulk transfer	Other

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Dec 8, 2021 to presentfactForm ADV
→ BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Nov 11, 2011 to Dec 7, 2021factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jan 2, 2009 to Nov 9, 2011factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Oct 13, 2008 to Jan 2, 2009factForm ADV

Dated events

No dated event names this entity yet.