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Michael Seth Sondak

Ameriprise Financial Services, LLC

Guilford, CT

CRD 2456373

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Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-16
TX RA APPROVED_RES 2011-05-26
CT RA APPROVED 2010-10-21
  • NY RA
    APPROVED
    Since 2021-04-16
  • TX RA
    APPROVED_RES
    Since 2011-05-26
  • CT RA
    APPROVED
    Since 2010-10-21

Branch Locations

Guilford, CT • 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
Ameriprise Financial Services, Inc. Kansas City MO 10/2009 03/2020
Ameriprise Financial Services, Inc. Avon CT 10/2009 03/2020
Ameriprise Financial Services, Llc Guilford CT 03/2020 Present
  • 10/2009 → 03/2020
    Ameriprise Financial Services, Inc.
    Kansas City, MO
  • 10/2009 → 03/2020
    Ameriprise Financial Services, Inc.
    Avon, CT
  • 03/2020 → Present
    Ameriprise Financial Services, Llc
    Guilford, CT
Previous Registrations
  • 2003-07-09 → 2009-10-05
    Ameriprise Advisor Services, Inc.
    Kansas City, MO
    Kansas City, MO
    Kansas City, MO
  • 2002-10-17 → 2003-07-09
    Choreo, Llc
    Fairfield, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-11-14
S63 Uniform Securities Agent State Law Examination 1994-10-21
  • S65 Uniform Investment Adviser Law Examination
    2000-11-14
  • S63 Uniform Securities Agent State Law Examination
    1994-10-21

View on SEC IAPD

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