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Detailed Report
MICHAEL MURRAY POWELL
MICHAEL M POWELL, MIKE MURRAY POWELL
CRD#: 5256940
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 1333 N CALIFORNIA BLVD
STE 630
WALNUT CREEK, CA 94596
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2010 - 2013 (2 years)2 FIRMS2013 - 2016 (2 years)2 FIRMS2016 - 2016 (<1 year)2 FIRMS2016 - 2017 (<1 year)2 FIRMS2017 - 2017 (<1 year)2 FIRMS2017 - 2019 (2 years)2 FIRMS2021 - Present (3 years)BINDEPENDENT FINANCIAL GROUP, LLC (CRD# 7717)2019 - 2021 (1 year)BCOUNTRY CAPITAL MANAGEMENT COMPANY (CRD# 12060)2010 - 2010 (<1 year)BSTONEHURST SECURITIES, INC. (CRD# 138218)2008 - 2009 (<1 year)BLIBERTY GROUP, LLC (CRD# 106036)2007 - 2008 (1 year)IAO'DONNELL FINANCIAL SERVICES, LLC (CRD# 172520)2020 - 2022 (2 years)IAINDEPENDENT FINANCIAL GROUP, LLC (CRD# 7717)2020 - 2021 (1 year)
Disclosure(s)
View By:
1/31/2004
Criminal
Final Disposition
License(s)

State Registrations

IA
California 7/19/2021
B
Nevada 7/20/2021
B
California 7/20/2021
B
North Carolina 10/21/2024
B
Connecticut 1/6/2025
B
Oregon 4/23/2024
B
Florida 1/6/2025
B
Pennsylvania 6/30/2022
B
Georgia 1/6/2025
B
South Carolina 10/22/2024
B
Louisiana 1/3/2025
B
South Dakota 7/20/2021
B
Massachusetts 1/6/2025
B
Texas 9/30/2022
B
Minnesota 4/23/2024
IA
Texas 9/30/2022
B
Montana 11/7/2024

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)
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AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
1333 N CALIFORNIA BLVD STE 630, WALNUT CREEK, CA 94596
Brentwood, CA
Registered with this firm since 7/20/2021
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
1333 N CALIFORNIA BLVD STE 630, WALNUT CREEK, CA 94596
Brentwood, CA
Registered with this firm since 7/19/2021
Previous Registration(s)
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 01/03/2020 - 01/06/2022 O'DONNELL FINANCIAL SERVICES, LLC (CRD#:172520) SAN RAFAEL, CA
IA
 01/10/2020 - 07/19/2021 INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717) San Rafael, CA
B
 12/18/2019 - 07/19/2021 INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717) San Rafael, CA
IA
 10/20/2017 - 12/24/2019 LPL FINANCIAL LLC (CRD#:6413) WALNUT CREEK, CA
B
 10/16/2017 - 12/24/2019 LPL FINANCIAL LLC (CRD#:6413) WALNUT CREEK, CA
IA
 06/15/2017 - 10/17/2017 UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER (CRD#:20804) WALNUT CREEK, CA
B
 06/15/2017 - 10/17/2017 UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER (CRD#:20804) WALNUT CREEK, CA
IA
 10/06/2016 - 06/15/2017 NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) (CRD#:29604) WALNUT CREEK, CA
B
 10/07/2016 - 06/15/2017 NATIONAL PLANNING CORPORATION (CRD#:29604) WALNUT CREEK, CA
IA
 07/07/2016 - 10/07/2016 HORNOR, TOWNSEND & KENT, INC. (CRD#:4031) SAN RAMON, CA
B
 02/26/2016 - 10/07/2016 HORNOR, TOWNSEND & KENT, INC. (CRD#:4031) SAN RAMON, CA
IA
 06/27/2013 - 02/17/2016 NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) (CRD#:29604) WALNUT CREEK, CA
B
 06/27/2013 - 02/17/2016 NATIONAL PLANNING CORPORATION (CRD#:29604) WALNUT CREEK, CA
IA
 10/26/2010 - 06/19/2013 LIBERTY GROUP, LLC (CRD#:106036) OAKLAND, CA
B
 10/22/2010 - 06/19/2013 LIBERTY GROUP, LLC (CRD#:106036) OAKLAND, CA
B
 09/10/2010 - 09/29/2010 COUNTRY CAPITAL MANAGEMENT COMPANY (CRD#:12060) LAS VEGAS, NV
B
 07/31/2008 - 02/03/2009 STONEHURST SECURITIES, INC. (CRD#:138218)
FINRA expelled the firm on 06/01/2010
LAS VEGAS, NV
B
 02/20/2007 - 07/31/2008 LIBERTY GROUP, LLC (CRD#:106036) LAS VEGAS, NV
For additional information about investment advisers or broker-dealers, please visit
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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.
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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.