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MICHAEL JOHN GAROFALO
CRD#: 2083792
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 800 Bering Dr Ste 105
Houston, TX 77057
Registration History
199019952000200520102015202020252 FIRMS2016 - Present (8 years)BVOYA FINANCIAL ADVISORS, INC. (CRD# 2882)2008 - 2016 (7 years)BELITE SECURITIES, INC. (CRD# 119220)2009 - 2009 (<1 year)BAIG SUNAMERICA CAPITAL SERVICE... (CRD# 13158)2006 - 2008 (1 year)BAMERICAN SKANDIA MARKETING, INC. (CRD# 21570)2006 - 2006 (<1 year)BALLSTATE DISTRIBUTORS, L.L.C. (CRD# 100460)2002 - 2006 (3 years)BRBC DAIN RAUSCHER INC. (CRD# 31194)2000 - 2002 (2 years)BLEGG MASON WOOD WALKER, INCORP... (CRD# 6555)1998 - 2000 (2 years)BCIBC OPPENHEIMER CORP. (CRD# 630)1994 - 1998 (3 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1991 - 1994 (3 years)BPRIME CHARTER LTD. (CRD# 25668)1990 - 1991 (<1 year)IAVOYA FINANCIAL ADVISORS, INC. (CRD# 2882)2009 - 2016 (7 years)IARBC DAIN RAUSCHER INC. (CRD# 31194)2002 - 2002 (<1 year)
License(s)

State Registrations

B
Alabama 4/29/2016

B
Minnesota 5/25/2022

B
Arizona 4/29/2016

B
Mississippi 2/26/2020

B
California 4/29/2016

B
Missouri 4/29/2016

B
Colorado 12/5/2017

B
New Jersey 4/29/2016

B
Connecticut 12/6/2017

B
New Mexico 4/29/2016

B
District of Columbia 5/11/2021

B
New York 2/18/2022

B
Florida 4/29/2016

B
North Carolina 12/6/2017

B
Georgia 4/29/2016

B
Ohio 10/1/2021

B
Illinois 3/15/2021

B
Oklahoma 12/6/2017

B
Indiana 12/11/2020

B
Pennsylvania 4/23/2024

B
Iowa 1/3/2024

B
Tennessee 4/29/2016

B
Kentucky 4/29/2016

B
Texas 4/29/2016

B
Louisiana 4/29/2016

IA
Texas 4/29/2016

B
Maryland 4/29/2016

B
Virginia 2/22/2019

B
Massachusetts 8/13/2020

B
Washington 1/4/2017

B
Michigan 12/6/2017

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
800 Bering Dr Ste 105, Houston, TX 77057
Houston, TX
Registered with this firm since 4/29/2016

B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
800 Bering Dr Ste 105, Houston, TX 77057
Houston, TX
Registered with this firm since 4/29/2016

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/26/2009 - 05/09/2016 VOYA FINANCIAL ADVISORS, INC. (CRD#:2882) HOUSTON, TX
B
09/30/2008 - 05/09/2016 VOYA FINANCIAL ADVISORS, INC. (CRD#:2882) HOUSTON, TX
B
05/01/2009 - 11/16/2009 ELITE SECURITIES, INC. (CRD#:119220) HOUSTON, TX
B
11/21/2006 - 06/05/2008 AIG SUNAMERICA CAPITAL SERVICES, INC. (CRD#:13158) JERSEY CITY, NJ
B
06/01/2006 - 10/12/2006 AMERICAN SKANDIA MARKETING, INC. (CRD#:21570) SHELTON, CT
B
12/17/2002 - 06/01/2006 ALLSTATE DISTRIBUTORS, L.L.C. (CRD#:100460) NORTHBROOK, IL
IA
01/01/2002 - 12/09/2002 RBC DAIN RAUSCHER INC. (CRD#:31194) HOUSTON, TX
B
06/16/2000 - 12/09/2002 RBC DAIN RAUSCHER INC. (CRD#:31194) NEW YORK, NY
B
05/18/1998 - 06/28/2000 LEGG MASON WOOD WALKER, INCORPORATED (CRD#:6555) BALTIMORE, MD
B
07/15/1994 - 06/02/1998 CIBC OPPENHEIMER CORP. (CRD#:630) NEW YORK, NY
B
06/12/1991 - 07/25/1994 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
09/06/1990 - 03/13/1991 PRIME CHARTER LTD. (CRD#:25668) NEW YORK, NY
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.