Michael W. Raissis
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 Wayne Raissis, who also goes by Michael Wayne Raissis, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 13 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2024 - September 6, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
August 21, 2013 - July 10, 2024
MARV CAPITAL INC.
September 11, 2012 - August 21, 2013
BREAN CAPITAL, LLC
October 16, 2008 - June 29, 2012
GLEACHER & COMPANY SECURITIES, INC.
January 18, 2006 - October 16, 2008
BROADPOINT DESCAP
September 9, 2004 - October 18, 2005
GREENWICH FINANCIAL SERVICES, L.L.C.
February 6, 2002 - October 1, 2003
GUGGENHEIM SECURITIES, LLC
September 30, 1999 - September 20, 2001
VIRTU ITG LLC
July 23, 1996 - September 2, 1999
BAIRD, PATRICK & CO., INC.
April 13, 1995 - August 8, 1996
PRUDENTIAL EQUITY GROUP, LLC
May 10, 1993 - May 2, 1995
FIRST UNION CAPITAL MARKETS CORP.
November 25, 1992 - April 13, 1993
LEHMAN BROTHERS INC.
May 29, 1992 - November 28, 1992
W.J. NOLAN & COMPANY, 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: 3/16/2000
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.
