Michael Barry Carter

Current Employers

Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-16

NY RA
APPROVED

Since 2021-04-16

Branch Locations

800 Westchester Ave Ste S-508, Rye Brook, NY 10573 • United States

800 Westchester Ave Ste 508, Rye Brook, NY 10573 • United States

Central Valley, NY • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Rye Brook	NY	09/2005	03/2020
Ameriprise Financial Services, Llc	Rye Brook	NY	03/2020	Present

09/2005 → 03/2020

Ameriprise Financial Services, Inc.

Rye Brook, NY
03/2020 → Present

Ameriprise Financial Services, Llc

Rye Brook, NY

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1998-01-26

S63 Uniform Securities Agent State Law Examination

1998-01-26

View on SEC IAPD

Current Employers

Ameriprise Financial Services, Llc

Disclosures

Employment History

Exams

Other Firms

Other Investors

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