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Mark Thomas Filla

Ameriprise Financial Services, LLC

Mequon, WI

Germantown, WI

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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2016-10-07
WI RA APPROVED 2016-10-07
  • TX RA
    APPROVED
    Since 2016-10-07
  • WI RA
    APPROVED
    Since 2016-10-07

Branch Locations

11039 N Towne Square Rd Ste 1, Mequon, WI 53092 • United States

Germantown, WI • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Llc Mequon WI 06/2009 10/2016
Morgan Stanley Private Bank, National Association New York NY 01/2015 10/2016
Ameriprise Financial Services Llc Mequon WI 10/2016 Present
  • 06/2009 → 10/2016
    Morgan Stanley Smith Barney Llc
    Mequon, WI
  • 01/2015 → 10/2016
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 10/2016 → Present
    Ameriprise Financial Services Llc
    Mequon, WI
Previous Registrations
  • 2009-06-01 → 2016-10-21
    Morgan Stanley
    Mequon, WI
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Mequon, WI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-11-01
  • S66 Uniform Combined State Law Examination
    2001-11-01

View on SEC IAPD

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ANDREW MICHAEL WIZIARDE

Other Offices

STIFEL, NICOLAUS & COMPANY, INCORPORATED · MEQUON, WI
LPL FINANCIAL LLC · MEQUON, WI
CHARLES SCHWAB & CO., INC. · Mequon, WI
OSAIC WEALTH, INC. · MEQUON, WI
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · MEQUON, WI
REINHART PARTNERS, LLC · MEQUON, WI
MADISON INVESTMENT ADVISORS, LLC · MEQUON, WI
REINHART PARTNERS, LLC · MEQUON, WI

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