Michael W. Menefee
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 Menefee, who also goes by Michael W Menefee, Michael Menefee, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1993. Michael had worked at 10 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 7 and Series 6 exams.
Services Offered
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2020 - July 9, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
September 1, 2020 - July 9, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
June 7, 2013 - September 3, 2020
WEDBUSH SECURITIES INC.
June 7, 2013 - September 3, 2020
WEDBUSH SECURITIES INC.
February 13, 2013 - June 11, 2013
RAYMOND JAMES & ASSOCIATES, INC.
February 13, 2013 - June 11, 2013
RAYMOND JAMES & ASSOCIATES, INC.
July 18, 2006 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
December 14, 2004 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
February 1, 2002 - December 16, 2004
EDWARD JONES
July 12, 2001 - November 13, 2001
RBC CAPITAL MARKETS, LLC
December 16, 1998 - March 14, 2000
METROPOLITAN LIFE INSURANCE COMPANY
December 16, 1998 - March 14, 2000
MSI FINANCIAL SERVICES, INC.
July 25, 1997 - January 6, 1999
METLIFE INVESTORS DISTRIBUTION COMPANY
July 2, 1993 - June 30, 1998
NATIONAL PLANNING CORPORATION
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent 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 |
| 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 |
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.
Company Information
AMERIPRISE FINANCIAL SERVICES, LLC
Financial AdvisorCRD#: 6363TRUST BUT VERIFY
Monitor Michael Menefee
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