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Michael D Prokop

Ameriprise Financial Services, LLC

Garden City, NY

New York, NY

Manhasset, NY

East Quogue, NY

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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 2018-05-25
  • NY RA
    APPROVED
    Since 2021-04-16
  • TX RA
    APPROVED_RES
    Since 2018-05-25

Branch Locations

1001 Franklin Ave Ste 302, Garden City, NY 11530 • United States

530 5Th Ave 10Th Floor, New York, NY 10036 • United States

Manhasset, NY • United States

East Quogue, NY • 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 & Co. Incorporated Garden City NY 02/2009 05/2018
Morgan Stanley Smith Barney Garden City NY 06/2009 05/2018
Morgan Stanley Private Bank, National Association New York NY 01/2015 05/2018
Ameriprise Financial Services Inc Mitchel Field NY 05/2018 03/2020
Ameriprise Financial Services, Llc Garden City NY 03/2020 Present
  • 02/2009 → 05/2018
    Morgan Stanley & Co. Incorporated
    Garden City, NY
  • 06/2009 → 05/2018
    Morgan Stanley Smith Barney
    Garden City, NY
  • 01/2015 → 05/2018
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 05/2018 → 03/2020
    Ameriprise Financial Services Inc
    Mitchel Field, NY
  • 03/2020 → Present
    Ameriprise Financial Services, Llc
    Garden City, NY
Previous Registrations
  • 2009-06-01 → 2018-05-29
    Morgan Stanley
    Garden City, NY
    Riverhead, NY
  • 2009-02-06 → 2009-06-01
    Morgan Stanley & Co. Llc
    Garden City, NY
  • 1998-07-07 → 2009-02-24
    Ubs Financial Services Inc.
    Garden City, NY
    Mitchell Field, NY
Other Businesses

Real Estate Ownership; Single Family; 44 Whippoorwill Lane, , Quogue, NY, 01942; Not Investment-Related; 07/01/2022.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-12-13
S63 Uniform Securities Agent State Law Examination 1983-03-11
  • S65 Uniform Investment Adviser Law Examination
    1993-12-13
  • S63 Uniform Securities Agent State Law Examination
    1983-03-11
Other Names
  • Michael Prokop
  • Michael D Prokop

View on SEC IAPD

Other Firms

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ARKADIOS WEALTH ADVISORS
CETERA INVESTMENT ADVISERS LLC
BRIXTON CAPITAL WEALTH ADVISORS, LLC
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
OSAIC WEALTH, INC.
COMMONWEALTH FINANCIAL NETWORK
LESLIE MARIE GIORDANO

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · GARDEN CITY, NY
ARKADIOS WEALTH ADVISORS · Garden City, NY
CETERA INVESTMENT ADVISERS LLC · Garden City, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · GARDEN CITY, NY
CETERA INVESTMENT ADVISERS LLC · GARDEN CITY, NY
BRIXTON CAPITAL WEALTH ADVISORS, LLC · GARDEN CITY, NY
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Garden City, NY
OSAIC WEALTH, INC. · GARDEN CITY, NY

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