Michael J. Lee
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 James Lee, who also goes by Mike Lee, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1980. Michael had worked at 18 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2023 - March 17, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
December 4, 2023 - March 17, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
February 26, 2021 - December 6, 2023
ESSEX ADVISORY
February 12, 2020 - February 26, 2021
SAN BLAS ADVISORY, INC.
January 15, 2020 - December 6, 2023
ESSEX SECURITIES LLC
November 4, 2019 - January 21, 2020
CL WEALTH MANAGEMENT LLC
September 10, 2019 - January 21, 2020
CABOT LODGE SECURITIES LLC
February 7, 2012 - January 25, 2021
SB ADVISORY, LLC
December 21, 2011 - September 28, 2019
IFS SECURITIES
April 12, 1999 - February 7, 2012
FINANCIAL ADVISORY NETWORK, INC.
July 15, 1991 - December 1, 2011
SECURITIES AMERICA, INC.
June 19, 1990 - March 28, 1991
MCCARLEY AND ASSOCIATES, INC.
March 31, 1989 - May 21, 1990
AIMS CAPITAL CORPORATION
October 21, 1986 - March 31, 1989
INVESTOR PORTFOLIO, INC.
September 25, 1984 - July 21, 1986
TITAN/VALUE EQUITIES GROUP, INC.
June 17, 1982 - October 4, 1984
FIRST PARK EQUITIES, INC.
March 31, 1982 - October 15, 1984
MERRICO INVESTMENTS CORPORATION
January 15, 1981 - October 13, 1981
PRUDENTIAL EQUITY GROUP, LLC
September 25, 1980 - January 2, 1981
ABORN INVESTMENTS, 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.
