Michael E. Diehl
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 E Diehl, who also goes by Michael Erickson Diehl, Michael Diehl, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1994. Michael had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2025 - October 21, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
September 29, 2025 - October 21, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
February 20, 2025 - October 9, 2025
CETERA INVESTMENT ADVISERS LLC
February 20, 2025 - October 9, 2025
CETERA WEALTH SERVICES, LLC
June 14, 2024 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 21, 2024 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 6, 2017 - March 13, 2024
BRIGHTHOUSE SECURITIES, LLC
April 27, 2015 - March 6, 2017
METLIFE INVESTORS DISTRIBUTION COMPANY
March 18, 2013 - March 13, 2015
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
December 11, 2004 - November 8, 2012
METLIFE INVESTORS DISTRIBUTION COMPANY
October 4, 2002 - December 11, 2004
METLIFE INVESTORS DISTRIBUTION COMPANY
December 22, 2000 - October 7, 2002
AMUNDI DISTRIBUTOR US, INC.
February 24, 2000 - January 8, 2001
VOYA INVESTMENTS DISTRIBUTOR, LLC
July 15, 1997 - December 10, 1999
COREBRIDGE CAPITAL SERVICES, INC.
October 10, 1995 - July 15, 1997
SUNAMERICA SECURITIES, INC.
January 28, 1994 - January 10, 1995
T. ROWE PRICE INVESTMENT 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
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.
