Michael J. Quinn
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 James Quinn, who also goes by Mike Quinn, Michael J Quinn, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1988. Michael had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2022 - November 6, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
June 3, 2022 - November 6, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
February 14, 2019 - June 23, 2022
LAIDLAW WEALTH MANAGEMENT LLC
February 12, 2019 - June 23, 2022
LAIDLAW & COMPANY (UK) LTD.
February 25, 2016 - February 13, 2019
MORGAN STANLEY
December 9, 2015 - February 13, 2019
MORGAN STANLEY
January 3, 2012 - December 23, 2013
LAIDLAW & COMPANY (UK) LTD.
May 27, 2011 - January 5, 2012
RODMAN & RENSHAW, LLC
June 15, 2010 - May 27, 2011
HUDSON SECURITIES,INC.
February 11, 2008 - March 8, 2010
RAFFERTY CAPITAL MARKETS, LLC
January 21, 2003 - September 12, 2007
SAL EQUITY TRADING, GP
July 10, 2002 - January 29, 2008
SUSQUEHANNA FINANCIAL GROUP, LLLP
March 11, 1992 - July 1, 2002
DEUTSCHE IXE, LLC
August 28, 1989 - March 18, 1992
LEHMAN BROTHERS INC.
February 23, 1988 - February 9, 1989
UBS FINANCIAL SERVICES 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 55
Date: 8/26/1999
Limited Representative-Equity Trader ExamCurrent 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.
