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Detailed Report
MICHAEL MORRIS ROTHSCHILD
Michael Rothschild
CRD#: 4298241
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 100 PRINGLE AVE
STE 420
WALNUT CREEK, CA 94596-7385
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2005 - 2007 (2 years)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2018 (9 years)2 FIRMS2018 - Present (6 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2000 - 2003 (2 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2001 - 2003 (2 years)
License(s)

State Registrations

B
Arizona 10/5/2018
B
New Jersey 10/5/2018
B
California 10/5/2018
B
New York 10/5/2018
IA
California 10/9/2018
B
North Carolina 9/10/2020
B
Colorado 10/5/2018
B
Oklahoma 6/8/2023
B
Connecticut 10/5/2018
B
Oregon 10/5/2018
B
Florida 10/5/2018
B
Pennsylvania 10/5/2018
B
Georgia 10/5/2018
B
Rhode Island 9/19/2022
B
Idaho 1/6/2021
B
Tennessee 3/6/2024
B
Illinois 10/5/2018
B
Texas 10/5/2018
B
Louisiana 10/5/2018
IA
Texas 10/5/2018
B
Massachusetts 10/5/2018
B
Utah 8/30/2023
B
Minnesota 10/5/2018
B
Virginia 7/6/2021
B
Montana 8/30/2024
B
Washington 10/5/2018

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
100 PRINGLE AVE STE 420, WALNUT CREEK, CA 94596-7385
Danville, CA
Registered with this firm since 10/5/2018
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
100 PRINGLE AVE STE 420, WALNUT CREEK, CA 94596-7385
Danville, CA
Registered with this firm since 10/5/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2009 - 10/09/2018 MORGAN STANLEY (CRD#:149777) WALNUT CREEK, CA
B
 06/01/2009 - 10/09/2018 MORGAN STANLEY (CRD#:149777) WALNUT CREEK, CA
IA
 04/27/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) WALNUT CREEK, CA
B
 04/27/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) WALNUT CREEK, CA
IA
 04/11/2005 - 05/10/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WALNUT CREEK, CA
B
 04/11/2005 - 05/10/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WALNUT CREEK, CA
IA
 02/21/2001 - 04/28/2003 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WALNUT CREEK, CA
B
 12/05/2000 - 04/28/2003 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.