Michael E. Simmers
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 Edward Simmers was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1971. Michael had worked at 13 firms and has passed the Series 63, Series 7TO, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2019 - February 21, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
September 4, 2018 - July 29, 2019
CONCORDE INVESTMENT SERVICES, LLC
July 20, 2016 - August 31, 2018
L.M. KOHN & COMPANY
March 6, 2015 - July 8, 2016
RAYMOND JAMES & ASSOCIATES, INC.
May 28, 2010 - March 11, 2015
B. RILEY WEALTH MANAGEMENT
April 15, 2005 - June 1, 2010
LEONARD & COMPANY
February 11, 2000 - April 18, 2005
WELLS FARGO CLEARING SERVICES, LLC
January 28, 1995 - February 23, 2000
UBS FINANCIAL SERVICES INC.
January 22, 1991 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
September 25, 1989 - February 6, 1991
LEHMAN BROTHERS INC.
November 2, 1977 - October 23, 1989
SMITH, HAGUE & CO., INCORPORATED
June 6, 1974 - November 27, 1977
FIFTH THIRD SECURITIES, INC.
February 8, 1971 - July 4, 1974
Y
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: 1/2/2023
General Securities Representative ExaminationPC
Date: 3/18/1978
AMEX Put and Call ExamSeries 1
Date: 2/4/1971
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.
