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

Heather J Taylor

Ameriprise Financial Services, LLCnational BDSpringfield, Modual registrantIAPD 5198381

Feed of 09/14/2026

Also filed as Heather J Luetkemeyer

At current firm

4 y

since May 9, 2022

In the industry

19 y

since Oct 10, 2006 (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 May 9, 2022 · Springfield, Mo
Wells Fargo Advisors wirehouse
Nov 16, 2010 to May 10, 2022 · Springfield, Mo
Smith Moore & Co. BD affiliated
Sep 4, 2008 to Jan 11, 2010 · Springfield, Mo
Morgan Stanley & Co. LLC unclassified
Apr 2, 2007 to Aug 4, 2008 · Springfield, Mo
Morgan Stanley Dw Inc. unclassified
Nov 22, 2006 to Apr 2, 2007 · Springfield, Mo
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Oct 11, 2006 to Nov 24, 2006 · Springfield, Mo

Moves

a registration end followed by a registration begin elsewhere

Wells Fargo Advisors to Ameriprise Financial Services, LLC
left May 10, 2022, registered May 9, 2022 (-1 days) · Wirehouse to affiliated broker-dealer or bank
Smith Moore & Co. to Wells Fargo Advisors
left Jan 11, 2010, registered Nov 16, 2010 (309 days) · Other
Morgan Stanley & Co. LLC to Smith Moore & Co.
left Aug 4, 2008, registered Sep 4, 2008 (31 days) · Other
Morgan Stanley Dw Inc. to Morgan Stanley & Co. LLC
left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Morgan Stanley Dw Inc.
left Nov 24, 2006, registered Nov 22, 2006 (-2 days) · Other

Signals

Heather J Taylor left Wells Fargo Advisors for Ameriprise Financial Services, Llc (registered 2022-05-09)
May 10, 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address