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Michael Allen Fredrick

Ameriprise Financial Services, LLC

Pleasant Hill, CA

Roseville, CA

Rocklin, CA

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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-10-19
TX RA APPROVED 2022-10-19
  • CA RA
    APPROVED
    Since 2022-10-19
  • TX RA
    APPROVED
    Since 2022-10-19

Branch Locations

101 Gregory Lane Suite 36 (P2A), Pleasant Hill, CA 94523 • United States

1420 Rocky Ridge Dr Ste 160, Roseville, CA 95661 • United States

Rocklin, CA • 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
Dws Investments Distributors, Inc Chicago IL 07/2010 05/2022
Ameriprise Financial Services, Llc Pleasant Hill CA 10/2022 Present
Unemployed Rocklin CA 06/2022 09/2022
  • 07/2010 → 05/2022
    Dws Investments Distributors, Inc
    Chicago, IL
  • 10/2022 → Present
    Ameriprise Financial Services, Llc
    Pleasant Hill, CA
  • 06/2022 → 09/2022
    Unemployed
    Rocklin, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-07-30
S66 Uniform Combined State Law Examination 2009-07-20
S63 Uniform Securities Agent State Law Examination 2006-07-10
  • S65 Uniform Investment Adviser Law Examination
    2022-07-30
  • S66 Uniform Combined State Law Examination
    2009-07-20
  • S63 Uniform Securities Agent State Law Examination
    2006-07-10
Other Names
  • Michael Fredrick
  • Michael Allen Fredrick
  • Michael A Fredrick
  • Mike Fredrick

View on SEC IAPD

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Other Offices

KESTRA ADVISORY SERVICES, LLC · Pleasant Hill, CA
MML INVESTORS SERVICES, LLC · PLEASANT HILL, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PLEASANT HILL, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Pleasant Hill, CA
LPL ENTERPRISE, LLC · PLEASANT HILL, CA
J.P. MORGAN SECURITIES LLC · PLEASANT HILL, CA
WAGNER LOFTIN INVESTMENT SERVICES LLC · PLEASANT HILL, CA
500 KIMCHI MANAGEMENT COMPANY LLC · PLEASANT HILL, CA

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