Michael W. Malone
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael William Malone was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 3, Series 7, Series 10, Series 9, Series 24, Series 23 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2023 - January 9, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
November 3, 2023 - January 9, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
March 28, 2014 - November 3, 2023
COMERICA SECURITIES
March 12, 2014 - November 3, 2023
COMERICA SECURITIES
March 22, 2012 - August 13, 2012
KESTRA PRIVATE WEALTH SERVICES, LLC
February 1, 2012 - July 11, 2012
SPIRE SECURITIES, LLC
October 1, 2008 - September 1, 2011
J.P. MORGAN SECURITIES LLC
October 1, 2008 - September 1, 2011
J.P. MORGAN SECURITIES LLC
August 21, 2007 - October 1, 2008
J.P. MORGAN SECURITIES INC.
August 21, 2007 - October 1, 2008
J.P. MORGAN SECURITIES INC.
June 5, 2001 - August 4, 2007
CITIGROUP GLOBAL MARKETS INC.
May 15, 2001 - August 4, 2007
CITIGROUP GLOBAL MARKETS INC.
February 12, 1988 - June 20, 2001
MORGAN STANLEY DW INC.
April 19, 1984 - March 1, 1988
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 8/26/1991
Foreign Currency Options ExaminationSeries 5
Date: 8/5/1991
Interest Rate Options ExaminationSeries 8
Date: 6/5/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
