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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)10 years in industry

Alexis Graham

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Houston, TX

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Search this name across graphsid dfx:ria:fcd7f1a6-4f7e-be28-b7c2-53668a8f7e32

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Dec 19, 2016 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 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Dec 16, 2016
First registration: Dec 19, 2016
Dual registered: yes, broker-dealer
Other names: ALEXIS CORINNE WILLIAMS|LEX WILLIAMS|Alexis Williams|Alexis Graham
IAPD individual key: 6303033

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	Aug 17, 2023	n/a	yes	Houston, TX\|Houston, TX	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Apr 4, 2023	Aug 1, 2023	no	HOUSTON, TX	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 13, 2022	Mar 27, 2023	no	HOUSTON, TX	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Mar 16, 2020	Dec 31, 2020	no	Portland, OR	Previous registration
FISHER INVESTMENTS	Independent wealth	Sep 19, 2019	Dec 10, 2019	no	PLANO, TX	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 2, 2018	Aug 22, 2019	no	AUBURN HILLS, MI	Previous registration
COMERICA SECURITIES	Former SEC adviser	Oct 10, 2018	Oct 12, 2018	no	BLOOMFIELD HILLS, MI	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Dec 19, 2016	Oct 2, 2018	no	GALVESTON, TX\|HOUSTON, TX\|HOUSTON, TX	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	AMERIPRISE FINANCIAL SERVICES, LLC	Mar 27, 2023	Apr 4, 2023	8	Firm change	Wirehouse to ibd
AMERIPRISE FINANCIAL SERVICES, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Dec 31, 2020	Jul 13, 2022	559	Firm change after gap	Ibd to wirehouse
FISHER INVESTMENTS	AMERIPRISE FINANCIAL SERVICES, LLC	Dec 10, 2019	Mar 16, 2020	97	Firm change	RIA to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	FISHER INVESTMENTS	Aug 22, 2019	Sep 19, 2019	28	Firm change	Wirehouse to RIA
COMERICA SECURITIES	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 12, 2018	Nov 2, 2018	21	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	COMERICA SECURITIES	Oct 2, 2018	Oct 10, 2018	8	Firm change	Other

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Apr 4, 2023 to Aug 1, 2023factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 13, 2022 to Mar 27, 2023factForm ADV
→ FISHER INVESTMENTSRegistered adviserregistration: previous registration
Sep 19, 2019 to Dec 10, 2019factForm ADV
→ COMERICA SECURITIESRegistered adviserregistration: previous registration
Oct 10, 2018 to Oct 12, 2018factForm ADV

Dated events

Occurred
Mar 27, 2023
Advisor changed firm
Alexis Graham left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Ameriprise Financial Services, Llc (registered 2023-04-04)
Form ADVobserved 6 days ago