Michael J. Flis
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 John Flis was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1979. Michael had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2009 - April 24, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - April 24, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
January 20, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
January 16, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
March 8, 2006 - January 20, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 8, 2006 - January 20, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 14, 2001 - March 8, 2006
ADVEST, INC.
March 2, 2001 - March 8, 2006
ADVEST, INC.
August 5, 2000 - March 16, 2001
WELLS FARGO CLEARING SERVICES, LLC
September 27, 1996 - August 5, 2000
GLEACHER & COMPANY SECURITIES, INC.
January 25, 1989 - October 7, 1996
LEGG MASON WOOD WALKER, INCORPORATED
February 15, 1988 - February 17, 1989
LEHMAN BROTHERS INC.
April 26, 1983 - February 15, 1988
E. F. HUTTON & COMPANY INC
June 21, 1979 - May 4, 1983
MOSELEY SECURITIES 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 5
Date: 10/19/1981
Interest Rate Options ExaminationSeries 8
Date: 7/23/1986
General Securities Sales Supervisor Examination (Options Module & General Module)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.
