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

Marc Willett Banks

Ameriprise Financial Services, LLCnational BDCedar Rapids, Ia dual registrantIAPD 4365747

Feed of 09/15/2026

Also filed as Marc Willett Banks

At current firm

4 y

since Feb 25, 2022

In the industry

25 y

since Aug 10, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, 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 Feb 25, 2022 · Hiawatha, Ia
Osaic Wealth, Inc. BD affiliated
Nov 2, 2018 to Mar 1, 2022 · Cedar Rapids, Ia
Signator Investors, Inc. former
Oct 2, 2017 to Nov 2, 2018 · Cedar Rapids, Ia
Investment Advisors Corp former
Nov 13, 2012 to Oct 3, 2017 · Cedar Rapids, Ia
Cambridge Investment Research Advisors, Inc. BD affiliated
Jan 4, 2010 to Nov 30, 2012 · Kalona, Ia
Wells Fargo Investments, LLC unclassified
Oct 6, 2008 to Nov 24, 2009 · Cedar Rapids, Ia
Charles Schwab & Co., Inc. national BD
Jul 12, 2005 to Sep 26, 2008 · Cedar Rapids, Ia

Moves

a registration end followed by a registration begin elsewhere

Osaic Wealth, Inc. to Ameriprise Financial Services, LLC
left Mar 1, 2022, registered Feb 25, 2022 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
Signator Investors, Inc. to Osaic Wealth, Inc.
left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
Investment Advisors Corp to Signator Investors, Inc.
left Oct 3, 2017, registered Oct 2, 2017 (-1 days) · Other
Cambridge Investment Research Advisors, Inc. to Investment Advisors Corp
left Nov 30, 2012, registered Nov 13, 2012 (-17 days) · Other
Wells Fargo Investments, LLC to Cambridge Investment Research Advisors, Inc.
left Nov 24, 2009, registered Jan 4, 2010 (41 days) · Other
Charles Schwab & Co., Inc. to Wells Fargo Investments, LLC
left Sep 26, 2008, registered Oct 6, 2008 (10 days) · Other

Signals

Marc Willett Banks left Osaic Wealth, Inc. for Ameriprise Financial Services, Llc (registered 2022-02-25)
Mar 1, 2022 · 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