Michael V Sergi

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
PA	RA	APPROVED	2003-08-04

PA RA
APPROVED

Since 2003-08-04

Branch Locations

Erie, PA • 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

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Erie	PA	03/1996	03/2020
Ameriprise Financial Services, Llc	Erie	PA	03/2020	Present

03/1996 → 03/2020

Ameriprise Financial Services, Inc.

Erie, PA
03/2020 → Present

Ameriprise Financial Services, Llc

Erie, PA

Other Businesses

Real Estate Ownership; Commercial; 1704 West 26 Street, ERIE PA 16508, ,; Not Investment-Related; 01/01/2013. Board of Directors; Battles Village; Member; 203 Main Street, , Girard, PA, 16417; Not Investment-Related; 04/01/2022; 1 to 9 hours per month; 0 during trading hours.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1996-05-24

S63 Uniform Securities Agent State Law Examination

1996-05-24

Designations

Certified Financial Planner

Other Names

Michael V Sergi Jr.
Michael Vincent Sergi

View on SEC IAPD