DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

TRACEY ANN DAVIS

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

San Diego, CA | Chula Vista, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:f37dc518-dabc-fcf1-9b15-cbde03753a03

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 16, 2009 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: Nov 5, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Nov 5, 1998
First registration: Jun 16, 2009
Dual registered: yes, broker-dealer
Other names: TRACEY STARKWEATHER
IAPD individual key: 1542790

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	Jan 17, 2014	n/a	yes	San Diego, CA\|Chula Vista, CA	Current employment
D.A. DAVIDSON & CO.	Independent wealth	Nov 25, 2013	Jan 22, 2014	no	SAN DIEGO, CA	Previous registration
CROWELL WEEDON & CO.	Former SEC adviser	Nov 4, 2013	Nov 25, 2013	no	SAN DIEGO, CA	Previous registration
CROWELL, WEEDON & CO.	Former SEC adviser	Jun 16, 2009	Nov 4, 2013	no	SAN DIEGO, CA\|SAN DIEGO, CA	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
D.A. DAVIDSON & CO.	AMERIPRISE FINANCIAL SERVICES, LLC	Jan 22, 2014	Jan 17, 2014	-5	Firm change	Other
CROWELL WEEDON & CO.	D.A. DAVIDSON & CO.	Nov 25, 2013	Nov 25, 2013	0	Bulk transfer	Other
CROWELL, WEEDON & CO.	CROWELL WEEDON & CO.	Nov 4, 2013	Nov 4, 2013	0	Bulk transfer	Other

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Jan 17, 2014 to presentfactForm ADV
→ D.A. DAVIDSON & CO.Registered adviserregistration: previous registration
Nov 25, 2013 to Jan 22, 2014factForm ADV
→ CROWELL WEEDON & CO.Registered adviserregistration: previous registration
Nov 4, 2013 to Nov 25, 2013factForm ADV
→ CROWELL, WEEDON & CO.Registered adviserregistration: previous registration
Jun 16, 2009 to Nov 4, 2013factForm ADV

Dated events

No dated event names this entity yet.