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

Mar 1, 2004earliest registration or exam on IAPD

Years in industry

22derivedfrom the industry start date

Years at current firm

3derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

1

Exams

S66

First exam

Jun 18, 2004

First registration

Jun 21, 2004

Dual registered

yes, broker-dealer

Other names

TOM BALLARD|THOMAS STEWART BALLARD|THOMAS S BALLARD|TOM STEWART BALLARD|TOM BALLARD|Thomas Ballard

IAPD individual key

4776531

• Occurred

  Nov 14, 2022
  Advisor changed firm

  Thomas Stewart Ballard left Edward Jones for Ameriprise Financial Services, Llc (registered 2022-11-11)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:fba4cd0e-7bd4-7e57-e256-3fd8d2989d3a

First observed

Jun 21, 2004

Last observed

Sep 15, 2026 5 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.