DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Lee Christian Helmers

Ameriprise Financial Services, LLCnational BDLexington, Kydual registrantIAPD 4269885

Certified Financial Planner

Feed of 09/14/2026

Also filed as Lee C Helmers

At current firm

1 y

since Sep 5, 2025

In the industry

25 y

since Jan 16, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Ameriprise Financial Services, LLC national BD current
since Sep 5, 2025 · Lexington, Ky
U.S. Bancorp Investments, Inc. former
Sep 28, 2023 to Aug 27, 2025 · Lexington, Ky
Keystone Financial Group, LLC independent RIA
Apr 22, 2014 to Aug 28, 2023 · Lexington, Ky
LPL Financial LLC BD affiliated
May 9, 2008 to Oct 26, 2015 · Lexington, Ky
UBS Financial Services Inc. wirehouse
Aug 21, 2003 to May 21, 2008 · Lexington, Ky
Bb&T Investment Services, Inc. former
Sep 6, 2002 to Apr 9, 2003 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

U.S. Bancorp Investments, Inc. to Ameriprise Financial Services, LLC
left Aug 27, 2025, registered Sep 5, 2025 (9 days) · Affiliated broker-dealer or bank to another
Keystone Financial Group, LLC to U.S. Bancorp Investments, Inc.
left Aug 28, 2023, registered Sep 28, 2023 (31 days) · RIA to affiliated broker-dealer or bank
LPL Financial LLC to Keystone Financial Group, LLC
left Oct 26, 2015, registered Apr 22, 2014 (-552 days) · Other · moved with a team
UBS Financial Services Inc. to LPL Financial LLC
left May 21, 2008, registered May 9, 2008 (-12 days) · Other
Bb&T Investment Services, Inc. to UBS Financial Services Inc.
left Apr 9, 2003, registered Aug 21, 2003 (134 days) · Other

Signals

Lee Christian Helmers left U.S. Bancorp Investments, Inc. for Ameriprise Financial Services, Llc (registered 2025-09-05)
Aug 27, 2025 · Advisor changed firm · fact
Lee Christian Helmers left Keystone Financial Group, Llc for U.S. Bancorp Investments, Inc. (registered 2023-09-28)
Aug 28, 2023 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: National broker-dealer RIAderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address