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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

JOHN THOMAS JOHNSON

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

RALEIGH, NC | Raleigh, NC

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Search this name across graphsid dfx:ria:fbe187ba-4889-75ee-1caf-45a3594d3b5e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 11, 1999 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: Apr 14, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Apr 14, 1997
First registration: May 11, 1999
Dual registered: yes, broker-dealer
Other names: JT JOHNSON|JOHN THOMAS JOHNSON
IAPD individual key: 2853551

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	Nov 19, 2010	n/a	yes	RALEIGH, NC\|Raleigh, NC	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Jan 28, 2005	Nov 26, 2010	no	RALIGH, NC\|RALEIGH, NC	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 1, 2003	Jan 31, 2005	no	RALEIGH, NC	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	May 11, 1999	Jul 1, 2003	no	RALEIGH, NC	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
UBS FINANCIAL SERVICES INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Nov 26, 2010	Nov 19, 2010	-7	Firm change	Wirehouse to ibd
WELLS FARGO ADVISORS	UBS FINANCIAL SERVICES INC.	Jan 31, 2005	Jan 28, 2005	-3	Firm change	Wirehouse to wirehouse
PRUDENTIAL EQUITY GROUP, LLC	WELLS FARGO ADVISORS	Jul 1, 2003	Jul 1, 2003	0	Bulk transfer	Other

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Nov 19, 2010 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jan 28, 2005 to Nov 26, 2010factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 1, 2003 to Jan 31, 2005factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
May 11, 1999 to Jul 1, 2003factForm ADV

Dated events

No dated event names this entity yet.