Michael Richard Misner

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
TX	RA	APPROVED	1990-03-07

TX RA
APPROVED

Since 1990-03-07

Branch Locations

10000 Memorial Dr Ste 100B, Houston, TX 77024 • United States

The Woodlands, TX • 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.	The Woodlands	TX	09/2005	03/2020
Ameriprise Financial Services, Llc	The Woodlands	TX	03/2020	Present

09/2005 → 03/2020

Ameriprise Financial Services, Inc.

The Woodlands, TX
03/2020 → Present

Ameriprise Financial Services, Llc

The Woodlands, TX

Other Businesses

Outside Employment; Certainty of the Uncertainty, LLC; Employee of legal entity; compensation received from an advisor owned entity established to manage the practice.; 1174 Veterans Memorial Highway, , Hauppauge, NY, 11788; Investment-Related; 09/18/2024; 60 hours per month; 60 during trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-07-05
S63	Uniform Securities Agent State Law Examination	1983-09-12

S65 Uniform Investment Adviser Law Examination

1996-07-05
S63 Uniform Securities Agent State Law Examination

1983-09-12

View on SEC IAPD