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MARK THOMAS FILLA
CRD#: 3004914
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 11039 N Towne Square Rd Ste 1
Mequon, WI 53092
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2016 (7 years)2 FIRMS2016 - Present (8 years)BMORGAN STANLEY DW INC. (CRD# 7556)2001 - 2007 (5 years)
License(s)

State Registrations

B
Alabama 8/21/2018

B
Nebraska 1/23/2023

B
Arizona 10/7/2016

B
Nevada 1/23/2023

B
Arkansas 10/7/2016

B
New Jersey 4/5/2024

B
California 10/7/2016

B
New York 10/7/2016

B
Colorado 10/7/2016

B
North Carolina 6/23/2022

B
District of Columbia 3/23/2023

B
North Dakota 6/23/2022

B
Florida 10/7/2016

B
Ohio 12/11/2020

B
Georgia 10/7/2016

B
Oregon 6/14/2023

B
Hawaii 2/2/2021

B
Pennsylvania 1/23/2023

B
Illinois 10/7/2016

B
South Carolina 10/7/2016

B
Indiana 11/3/2021

B
South Dakota 3/5/2018

B
Iowa 10/7/2016

B
Tennessee 10/7/2016

B
Kentucky 12/11/2017

B
Texas 10/7/2016

B
Maryland 10/7/2016

IA
Texas 10/7/2016

B
Massachusetts 10/7/2016

B
Virginia 10/7/2016

B
Michigan 10/7/2016

B
Washington 1/8/2025

B
Minnesota 10/7/2016

B
Wisconsin 10/7/2016

B
Missouri 10/7/2016

IA
Wisconsin 10/7/2016

B
Montana 10/7/2016

B
Wyoming 10/7/2016

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)
11039 N Towne Square Rd Ste 1, Mequon, WI 53092
Germantown, WI
Registered with this firm since 10/7/2016

B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
11039 N Towne Square Rd Ste 1, Mequon, WI 53092
Germantown, WI
Registered with this firm since 10/7/2016

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/01/2009 - 10/21/2016 MORGAN STANLEY (CRD#:149777) MEQUON, WI
B
06/01/2009 - 10/21/2016 MORGAN STANLEY (CRD#:149777) MEQUON, WI
IA
04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) MEQUON, WI
B
04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) MEQUON, WI
B
10/12/2001 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) MEQUON, WI
For additional information about investment advisers or broker-dealers, please visit
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.