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Michael Gerard Prendergast

Ameriprise Financial Services, LLC

Oakbrook Terrace, IL

Chicago, IL

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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2009-10-05
TX RA APPROVED_RES 2009-10-05
  • IL RA
    APPROVED
    Since 2009-10-05
  • TX RA
    APPROVED_RES
    Since 2009-10-05

Branch Locations

1 Lincoln Ctr Ste 1500, Oakbrook Terrace, IL 60181 • United States

Chicago, IL • 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
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Northbrook IL 10/2009 03/2020
Ameriprise Financial Services, Inc. Deerfield IL 10/2009 03/2023
Ameriprise Financial Services, Llc Oakbrook Terrace IL 03/2023 Present
Ameriprise Financial Services, Llc Oakbrook Terrace IL 03/2020 Present
Previous Registrations
  • 2003-06-24 → 2009-10-05
    Ameriprise Advisor Services, Inc.
    Northbrook, IL
    Northbrook, IL
    Orland Park, IL
    Oakbrook Terrace, IL
  • 2004-10-20 → 2004-11-04
    Banc Of America Investment Services, Inc.
    Northbrook, IL
  • 2002-08-28 → 2004-10-20
    Quick & Reilly, Inc.
    Northbrook, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-01-31
S63 Uniform Securities Agent State Law Examination 1994-05-16
  • S65 Uniform Investment Adviser Law Examination
    2001-01-31
  • S63 Uniform Securities Agent State Law Examination
    1994-05-16
Other Names
  • Michael Gerald Prendergast

View on SEC IAPD

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