Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
MICHAEL JAMES GASCON
CRD#: 5247413
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 5136 Cascade Rd SE Ste 2B
Grand Rapids, MI 49546
Registration History
200620082010201220142016201820202022202420262 FIRMS2013 - Present (11 years)BHANTZ FINANCIAL SERVICES, INC. (CRD# 46047)2006 - 2013 (7 years)IAHANTZ FINANCIAL SERVICES, INC. (CRD# 46047)2011 - 2013 (2 years)
License(s)

State Registrations

B
Alaska 6/18/2024
IA
Michigan 1/2/2014
B
Arizona 4/18/2022
B
Missouri 11/5/2019
B
Colorado 2/10/2025
B
Nevada 4/18/2022
B
Florida 11/5/2019
B
North Carolina 1/24/2024
B
Indiana 11/5/2019
B
Oregon 4/18/2022
B
Kansas 4/18/2022
B
South Carolina 4/18/2022
B
Kentucky 9/20/2021
B
Texas 4/18/2022
B
Maine 2/10/2025
IA
Texas 4/18/2022
B
Massachusetts 1/19/2018
B
Virginia 11/12/2024
B
Michigan 12/20/2013

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)
5136 Cascade Rd SE Ste 2B, Grand Rapids, MI 49546
Caledonia, MI
Registered with this firm since 12/20/2013
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
5136 Cascade Rd SE Ste 2B, Grand Rapids, MI 49546
Caledonia, MI
Registered with this firm since 12/20/2013
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/02/2011 - 11/22/2013 HANTZ FINANCIAL SERVICES, INC. (CRD#:46047) GRANDVILLE, MI
B
 11/20/2006 - 11/22/2013 HANTZ FINANCIAL SERVICES, INC. (CRD#:46047) GRANDVILLE, MI
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.