John Mikhael
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.
John Mikhael was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2002. John had worked at 7 firms and has passed the Series 66, Series 63, Series 65, Series 7TO, SIE 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
March 25, 2019 - July 8, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
March 19, 2019 - July 8, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
September 10, 2013 - November 16, 2015
PARK AVENUE SECURITIES LLC
August 21, 2013 - November 16, 2015
PARK AVENUE SECURITIES LLC
March 31, 2011 - August 9, 2012
VALIC FINANCIAL ADVISORS, INC.
March 30, 2011 - August 9, 2012
VALIC FINANCIAL ADVISORS, INC.
February 13, 2009 - March 28, 2011
WELLS FARGO CLEARING SERVICES, LLC
February 13, 2009 - March 28, 2011
WELLS FARGO CLEARING SERVICES, LLC
November 3, 2006 - February 17, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 3, 2006 - February 17, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 10, 2004 - November 13, 2006
CITIGROUP GLOBAL MARKETS INC.
April 16, 2004 - November 13, 2006
CITIGROUP GLOBAL MARKETS INC.
August 18, 2003 - April 6, 2004
OPPENHEIMER & CO. INC.
May 6, 2002 - January 24, 2003
CITIGROUP GLOBAL MARKETS 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 7TO
Date: 12/22/2022
General Securities 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 |
| 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.
