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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

MICHAEL GERARD PRENDERGAST

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Chicago, IL | Oakbrook Terrace, IL

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Search this name across graphsid dfx:ria:b51027fb-fb9c-7833-c2ed-142b2f746ce0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 28, 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: May 16, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: May 16, 1994
First registration: Aug 28, 2002
Dual registered: yes, broker-dealer
Other names: MICHAEL GERALD PRENDERGAST
IAPD individual key: 1327563

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	Oct 5, 2009	n/a	yes	Oakbrook Terrace, IL\|Chicago, IL	Current employment
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Oct 20, 2004	Nov 4, 2004	no	NORTHBROOK, IL	Previous registration
AMERIPRISE ADVISOR SERVICES, INC.	n/a	Jun 24, 2003	Oct 5, 2009	no	NORTHBROOK, IL\|NORTHBROOK, IL\|ORLAND PARK, IL\|OAKBROOK TERRACE, IL	Previous registration
QUICK & REILLY, INC.	n/a	Aug 28, 2002	Oct 20, 2004	no	NORTHBROOK, IL	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
AMERIPRISE ADVISOR SERVICES, INC.	BANC OF AMERICA INVESTMENT SERVICES, INC.	Oct 5, 2009	Oct 20, 2004	-1,811	Firm change after gap	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Nov 4, 2004	Oct 5, 2009	1,796	Firm change after gap	Other
QUICK & REILLY, INC.	AMERIPRISE ADVISOR SERVICES, INC.	Oct 20, 2004	Jun 24, 2003	-484	Firm change after gap	Other

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Oct 5, 2009 to presentfactForm ADV
→ AMERIPRISE ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
Jun 24, 2003 to Oct 5, 2009factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Oct 20, 2004 to Nov 4, 2004factForm ADV
→ QUICK & REILLY, INC.Registered adviserregistration: previous registration
Aug 28, 2002 to Oct 20, 2004factForm ADV

Dated events

No dated event names this entity yet.