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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)39 years in industry

MICHAEL PAUL RINALDO

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Florham Park, NJ | Randolph, NJ

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Search this name across graphsid dfx:ria:5e563dd9-29cf-a7c0-12c9-72cb9f2444fd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: May 8, 2002 to Sep 14, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

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: Jun 19, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Jun 19, 1987
First registration: May 8, 2002
Dual registered: yes, broker-dealer
Other names: Michael P Rinaldo
IAPD individual key: 1663502

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Dec 11, 2020	n/a	yes	Florham Park, NJ\|Randolph, NJ	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Sep 28, 2010	Dec 22, 2020	no	Warren, NJ\|FLORHAM PARK, NJ\|FLORHAM PARK, NJ	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Oct 6, 2010	no	Short Hills, NJ	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	SHORT HILLS, NJ	Previous registration
MORGAN STANLEY DW INC.	n/a	Sep 17, 2004	Apr 2, 2007	no	SHORT HILLS, NJ\|SHORT HILLS, NJ	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	May 8, 2002	Sep 27, 2004	no	FLORHAM PARK, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
UBS FINANCIAL SERVICES INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Dec 22, 2020	Dec 11, 2020	-11	Firm change	Wirehouse to ibd
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Oct 6, 2010	Sep 28, 2010	-8	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY DW INC.	Sep 27, 2004	Sep 17, 2004	-10	Firm change	Other

Relationships

Registered with (6)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Dec 11, 2020 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Sep 28, 2010 to Dec 22, 2020factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Oct 6, 2010factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Sep 17, 2004 to Apr 2, 2007factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
May 8, 2002 to Sep 27, 2004factForm ADV

Dated events

No dated event names this entity yet.