Michael Samuel Karfis

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

Authority	Category	Status	Date
MI	RA	APPROVED	2010-06-16

MI RA
APPROVED

Since 2010-06-16

Branch Locations

32255 Northwestern Hwy Ste 200, Farmington Hills, MI 48334-1574 • United States

Novi, MI • 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.	West Bloomfield	MI	10/2009	03/2020
Ameriprise Financial Services, Inc.	Farmington Hills	MI	10/2009	03/2020
Ameriprise Financial Services, Llc	Farmington Hills	MI	03/2020	Present

10/2009 → 03/2020

Ameriprise Financial Services, Inc.

West Bloomfield, MI
10/2009 → 03/2020

Ameriprise Financial Services, Inc.

Farmington Hills, MI
03/2020 → Present

Ameriprise Financial Services, Llc

Farmington Hills, MI

Previous Registrations

2009-08-10 → 2009-10-05

Ameriprise Advisor Services, Inc.

West Bloomfield, MI

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-05-19
S63	Uniform Securities Agent State Law Examination	1994-03-09

S65 Uniform Investment Adviser Law Examination

2001-05-19
S63 Uniform Securities Agent State Law Examination

1994-03-09

Other Names

Michael S Karfis

View on SEC IAPD