• 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.
MIKE PERSIA
MICHAEL PERSIA, MIKE PERSIA III
CRD#: 712234
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 2615 Calder St., Ste. 150
Beaumont, TX 77702-1935
Registration History
19801985199019952000200520102015202020252 FIRMS1994 - 2012 (17 years)2 FIRMS2012 - 2024 (12 years)2 FIRMS2024 - Present (<1 year)BPAINEWEBBER INCORPORATED (CRD# 8174)1991 - 1994 (3 years)BROTAN MOSLE INC. (CRD# 727)1984 - 1991 (7 years)BROTAN MOSLE INC. (CRD# 727)1980 - 1991 (10 years)
Disclosure(s)
View By:
10/25/1999
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 8/23/2024

B
New York 8/9/2024

B
California 8/9/2024

B
North Carolina 8/30/2024

B
Colorado 8/9/2024

B
Ohio 8/9/2024

B
Delaware 8/9/2024

B
Pennsylvania 8/9/2024

B
Florida 8/9/2024

B
South Carolina 8/9/2024

B
Georgia 8/9/2024

B
Tennessee 8/9/2024

B
Iowa 8/9/2024

B
Texas 8/9/2024

B
Louisiana 8/9/2024

IA
Texas 8/9/2024

B
Maine 8/9/2024

B
Virginia 8/9/2024

B
Michigan 8/9/2024

B
Washington 8/9/2024

B
Mississippi 8/9/2024

B
West Virginia 8/9/2024

B
Missouri 8/9/2024

B
Wyoming 8/9/2024

B
New Mexico 8/9/2024

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)
2615 Calder St., Ste. 150, Beaumont, TX 77702-1935
2727 Allen Pkwy., Ste. 1500, Houston, TX 77019-2127
Registered with this firm since 8/9/2024

B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
2615 Calder St., Ste. 150, Beaumont, TX 77702-1935
2727 Allen Pkwy., Ste. 1500, Houston, TX 77019-2127
Registered with this firm since 8/9/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/13/2012 - 08/20/2024 UBS FINANCIAL SERVICES INC. (CRD#:8174) BEAUMONT, TX
B
01/13/2012 - 08/20/2024 UBS FINANCIAL SERVICES INC. (CRD#:8174) BEAUMONT, TX
IA
09/06/1994 - 01/17/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BEAUMONT, TX
B
09/06/1994 - 01/17/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BEAUMONT, TX
B
01/01/1991 - 10/04/1994 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
01/17/1984 - 01/01/1991 ROTAN MOSLE INC. (CRD#:727)
B
07/24/1980 - 01/01/1991 ROTAN MOSLE INC. (CRD#:727)
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.