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Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-04-15
  • CA RA
    APPROVED
    Since 2022-04-15

Branch Locations

2398 E Camelback Rd Ste 550, Phoenix, AZ 85016 • United States

Paradise Valley, AZ • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Phoenix AZ 04/2007 04/2022
Ameriprise Financial Services, Llc Phoenix AZ 04/2022 Present
Previous Registrations
Other Businesses

Board of Directors; Arizona Women's Board; Board Member; 5921 E. Indian Bend Road, , Paradise Valley, AZ, 85253; Not Investment-Related; 03/01/2004; 1 to 9 hours per month; 1 to 9 during trading hours / American Heart Association; Investment Committee Member; 7272 Greenville Ave, , Dallas, TX, 75231; Investment-Related; 07/01/2009; 1 to 9 hours per month; 1 to 9 during trading hours / TGen Ambassador Board; Translational Genomics Research Institute Ambassador; 445 5th Street, , Phoenix, AZ, 85004; Not Investment-Related; 09/01/2017; 1 to 9 hours per month; 1 to 9 during trading hours / American Heart Association- Corporate Operations Combined Committee; Board-Corporate Operations Combined Committee; 7272 Greenville Ave, , Dallas, TX, 75231; Not Investment-Related; 10/25/2023; 1 to 9 hours per month; 1 to 9 during trading hours. Other Business Activities; Charter 100; Charter 100 is a 501(C)3 organization of prominent business women in AZ. The group exists to foster relationships and education among female business leaders in AZ. There is no investment activity. ; 4727 E. Bell Road, Suite 45-449, Phoenix, AZ, 85032; Not Investment-Related; 08/01/2016; 1 to 9 hours per month; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-05-13
S63 Uniform Securities Agent State Law Examination 1984-09-19
  • S65 Uniform Investment Adviser Law Examination
    1993-05-13
  • S63 Uniform Securities Agent State Law Examination
    1984-09-19
Other Names
  • Christine Susan Painley Gustafson
  • Christine Susan Painley
  • Christine Painley Gustafson

View on SEC IAPD

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