Christopher S. Hayward
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.
Christopher Sean Hayward was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1995. Christopher had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 26 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2010 - August 30, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
March 26, 2010 - August 30, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
April 20, 2009 - March 26, 2010
SIGNATOR INVESTORS, INC.
March 31, 2009 - March 26, 2010
SIGNATOR INVESTORS, INC.
January 18, 2008 - April 1, 2009
NATCITY INVESTMENTS, INC.
January 9, 2008 - April 1, 2009
NATCITY INVESTMENTS, INC.
November 30, 2007 - January 2, 2008
THE HUNTINGTON INVESTMENT COMPANY
August 1, 2007 - January 2, 2008
THE HUNTINGTON INVESTMENT COMPANY
January 3, 2003 - August 1, 2007
NATIONAL PLANNING CORPORATION
July 31, 2002 - November 6, 2002
EDWARD JONES
May 8, 2002 - July 8, 2002
CITIZENS SECURITIES, INC.
November 2, 2000 - December 31, 2000
MBSC, LLC
November 2, 2000 - May 8, 2002
DREYFUS INVESTMENT SERVICES COMPANY, LLC
August 10, 2000 - November 14, 2000
PNC BROKERAGE CORP
April 25, 1997 - August 8, 2000
MBSC, LLC
September 3, 1996 - August 8, 2000
DREYFUS INVESTMENT SERVICES COMPANY, LLC
March 28, 1996 - August 23, 1996
ROBERT W. BAIRD & CO. INCORPORATED
March 28, 1996 - August 23, 1996
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 26, 1995 - February 7, 1996
BMA FINANCIAL SERVICES, 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.
