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

Oct 28, 2011earliest registration or exam on IAPD

Years in industry

14derivedfrom the industry start date

Years at current firm

10derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

3

Exams

S63|S66

First exam

Oct 28, 2011

First registration

Jul 8, 2013

Dual registered

yes, broker-dealer

Other names

MICHALIS BATAS|MICHAEL BATAS

IAPD individual key

5491943

Graph

RIA / Wealth Management

Canonical id

dfx:ria:79319b3a-d64e-37a6-cf76-4bfb967c2131

First observed

Jul 8, 2013

Last observed

Sep 14, 2026 5 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.