DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

PAUL A HEES

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Pardeeville, WI | Rotonda West, FL | Madison, WI

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:ffbbbf20-ce67-5c8b-526d-53e78f8d28ef

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Apr 23, 2001 to Sep 15, 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: Mar 10, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 3
Exams: S63|S65
First exam: Mar 10, 1989
First registration: Apr 23, 2001
Dual registered: yes, broker-dealer
Other names: Paul Hees
IAPD individual key: 1919525

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	Jul 9, 2021	n/a	yes	Rotonda West, FL\|Pardeeville, WI\|Madison, WI	Current employment
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	Mar 16, 2018	Jul 16, 2021	no	MADISON, WI\|MIDDLETON, WI	Previous registration
B. C. ZIEGLER AND COMPANY	Former SEC adviser	Jul 18, 2011	Mar 16, 2018	no	MIDDLETON, WI\|CHICAGO, IL	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 30, 2010	Jul 25, 2011	no	FORT MILL, SC\|MIDDLETON, WI\|BRYAN, OH	Previous registration
NRP ADVISORS, INC.	n/a	Aug 1, 2008	Nov 30, 2010	no	MADISON, WI	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 23, 2001	Jul 8, 2004	no	MADISON, WI	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
STIFEL, NICOLAUS & COMPANY, INCORPORATED	AMERIPRISE FINANCIAL SERVICES, LLC	Jul 16, 2021	Jul 9, 2021	-7	Firm change	Ibd to ibd
B. C. ZIEGLER AND COMPANY	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Mar 16, 2018	Mar 16, 2018	0	Bulk transfer	Other
LPL FINANCIAL LLC	B. C. ZIEGLER AND COMPANY	Jul 25, 2011	Jul 18, 2011	-7	Firm change	Other
NRP ADVISORS, INC.	LPL FINANCIAL LLC	Nov 30, 2010	Nov 30, 2010	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	NRP ADVISORS, INC.	Jul 8, 2004	Aug 1, 2008	1,485	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
793:6363:WI:2021-07-16	Jul 16, 2021	Jul 9, 2021	MIDDLETON, WI	Firm change

Relationships

Registered with (6)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Jul 9, 2021 to presentfactForm ADV
→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: previous registration
Mar 16, 2018 to Jul 16, 2021factForm ADV
→ B. C. ZIEGLER AND COMPANYRegistered adviserregistration: previous registration
Jul 18, 2011 to Mar 16, 2018factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Nov 30, 2010 to Jul 25, 2011factForm ADV
→ NRP ADVISORS, INC.Registered adviserregistration: previous registration
Aug 1, 2008 to Nov 30, 2010factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Apr 23, 2001 to Jul 8, 2004factForm ADV

Dated events

No dated event names this entity yet.