This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

AMERIPRISE FINANCIAL SERVICES, LLC

Current firm class

national broker-dealer RIAderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Jul 1, 1980earliest registration or exam on IAPD

Years in industry

46derivedfrom the industry start date

Years at current firm

2derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S65|S63

First exam

Jul 1, 1980

First registration

Sep 6, 1994

Dual registered

yes, broker-dealer

Other names

MICHAEL PERSIA|MIKE PERSIA|MICHAEL PERSIA

IAPD individual key

712234

• Occurred

  Aug 20, 2024
  Advisor changed firm

  Mike Persia left Ubs Financial Services Inc. for Ameriprise Financial Services, Llc (registered 2024-08-10)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:2de53fc8-a755-4bb0-634e-4ca6218696a3

First observed

Sep 6, 1994

Last observed

Sep 15, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.