Dustin L. Price
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.
Dustin Lee Price, who also goes by Dustin L. Price, Dustin Price, was a registered financial professional .
Dustin is a previously registered financial professional and started their career in finance in 2007. Dustin had worked at 10 firms and has passed the Series 66, 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
April 9, 2019 - October 18, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
April 8, 2019 - October 18, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
November 29, 2017 - March 29, 2019
SECURIAN FINANCIAL SERVICES, INC.
November 28, 2017 - March 29, 2019
SECURIAN FINANCIAL SERVICES, INC.
November 23, 2015 - October 24, 2017
USAA FINANCIAL PLANNING SERVICES
November 16, 2015 - October 24, 2017
USAA FINANCIAL ADVISORS, INC.
June 29, 2015 - October 19, 2015
MORGAN STANLEY
June 1, 2015 - October 19, 2015
MORGAN STANLEY
July 15, 2011 - June 2, 2014
MUTUAL OF AMERICA SECURITIES LLC
July 15, 2011 - June 2, 2014
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
December 10, 2007 - June 30, 2011
T. ROWE PRICE ADVISORY SERVICES, INC.
November 30, 2007 - June 30, 2011
T. ROWE PRICE INVESTMENT SERVICES, INC.
July 10, 2007 - October 2, 2007
RAYMOND JAMES & ASSOCIATES, INC.
March 2, 2007 - October 2, 2007
RAYMOND JAMES & ASSOCIATES, 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 |
| 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 |
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.
