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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

MELISSA MCGRATH

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Charlotte, NC | MINNEAPOLIS, MN

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Search this name across graphsid dfx:ria:ed1dfadb-c6c2-e78c-249b-75a2a8b69602

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: May 26, 2022 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: Jun 20, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Jun 20, 2006
First registration: May 26, 2022
Dual registered: yes, broker-dealer
Other names: Melissa Michelle Smith|Melissa Michelle McGrath|Melissa McGrath
IAPD individual key: 4049414

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	Jun 19, 2024	n/a	yes	MINNEAPOLIS, MN\|Charlotte, NC	Current employment
PROVENANCE WEALTH ADVISORS	Independent wealth	Aug 25, 2023	May 29, 2024	no	FORT LAUDERDALE, FL\|Concord, NC	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	May 23, 2023	Aug 25, 2023	no	Concord, NC	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	May 26, 2022	Apr 21, 2023	no	FORT MILL, SC	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
PROVENANCE WEALTH ADVISORS	AMERIPRISE FINANCIAL SERVICES, LLC	May 29, 2024	Jun 19, 2024	21	Firm change	RIA to ibd
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	PROVENANCE WEALTH ADVISORS	Aug 25, 2023	Aug 25, 2023	0	Firm change	Other
LPL FINANCIAL LLC	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Apr 21, 2023	May 23, 2023	32	Firm change	Ibd to ibd

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Jun 19, 2024 to presentfactForm ADV
→ PROVENANCE WEALTH ADVISORSRegistered adviserregistration: previous registration
Aug 25, 2023 to May 29, 2024factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
May 23, 2023 to Aug 25, 2023factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 26, 2022 to Apr 21, 2023factForm ADV

Dated events

Occurred
May 29, 2024
Advisor changed firm
Melissa Mcgrath left Provenance Wealth Advisors for Ameriprise Financial Services, Llc (registered 2024-06-19)
Form ADVobserved 4 days ago
Occurred
Aug 25, 2023
Advisor changed firm
Melissa Mcgrath left Raymond James Financial Services Advisors, Inc for Provenance Wealth Advisors (registered 2023-08-25)
Form ADVobserved 4 days ago
Occurred
Apr 21, 2023
Advisor changed firm
Melissa Mcgrath left Lpl Financial Llc for Raymond James Financial Services Advisors, Inc (registered 2023-05-23)
Form ADVobserved 4 days ago