Isabelle S. Grard Mao
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.
Isabelle S Grard Mao, who also goes by Isabelle Sandrine Grard, Isabelle S Grard, Isabelle Sandrine Padron, was a registered financial professional .
Isabelle is a previously registered financial professional and started their career in finance in 2007. Isabelle had worked at 5 firms and has passed the Series 66, SIE, Series 7 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
July 6, 2016 - April 10, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
July 1, 2016 - April 10, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
May 21, 2013 - July 5, 2016
OSAIC INSTITUTIONS, INC.
May 16, 2013 - July 5, 2016
OSAIC INSTITUTIONS, INC.
October 29, 2012 - May 3, 2013
BB&T INVESTMENT SERVICES, INC.
October 15, 2012 - May 3, 2013
BB&T INVESTMENT SERVICES, INC.
September 30, 2011 - October 12, 2012
LPL FINANCIAL LLC
July 28, 2011 - October 12, 2012
LPL FINANCIAL LLC
February 11, 2010 - August 19, 2010
LPL FINANCIAL LLC
January 15, 2010 - August 19, 2010
LPL FINANCIAL LLC
November 19, 2008 - January 20, 2010
CETERA INVESTMENT SERVICES LLC
November 10, 2008 - January 20, 2010
CETERA INVESTMENT SERVICES LLC
September 18, 2007 - October 24, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
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.
