Isabel M. Guzman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Isabel Maria Guzman was a registered financial professional .
Isabel is a previously registered financial professional and started their career in finance in 1994. Isabel had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2016 - November 1, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
May 31, 2016 - November 1, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
February 24, 2011 - February 4, 2013
MORGAN STANLEY
June 1, 2009 - October 29, 2014
MORGAN STANLEY
November 12, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 5, 2006 - November 7, 2008
UBS FINANCIAL SERVICES INC.
July 28, 2005 - March 23, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 14, 2005 - March 23, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 3, 2000 - March 4, 2004
CREDIT SUISSE SECURITIES (USA) LLC
August 29, 2000 - January 17, 2003
PERSHING LLC
July 1, 1998 - August 30, 2000
COWEN AND COMPANY
February 26, 1997 - July 1, 1998
FINANCIAL SQUARE PARTNERS
July 3, 1996 - February 27, 1997
CITIGROUP GLOBAL MARKETS INC.
April 10, 1994 - May 24, 1996
KIRLIN SECURITIES INC.
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
