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

Jul 15, 1993earliest registration or exam on IAPD

Years in industry

33derivedfrom the industry start date

Years at current firm

1derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

2

Designations

Certified Financial Planner

Exams

S63|S65

First exam

Jul 15, 1993

First registration

Apr 11, 2003

Dual registered

yes, broker-dealer

Other names

JOHN PENCE|JOHN L PENCE|J. Lee Pence|J L PENCE|LEE PENCE

IAPD individual key

2350924

• Occurred

  May 2, 2025
  Advisor changed firm

  John Lee Pence left The Strategic Financial Alliance for Ameriprise Financial Services, Llc (registered 2025-05-05)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:ff63c00c-182b-710f-037b-48f76127a336

First observed

Apr 11, 2003

Last observed

Sep 14, 2026 6 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.