Elaine M. Schwartz
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.
Elaine Marcia Schwartz, who also goes by Elaine Gussow, was a registered financial professional .
Elaine is a previously registered financial professional and started their career in finance in 1981. Elaine had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 22 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
December 13, 2004 - July 3, 2006
IDS LIFE INSURANCE COMPANY
December 13, 2004 - June 13, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
June 15, 1998 - August 27, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
June 5, 1998 - April 12, 2004
IFMG SECURITIES, INC.
February 21, 1995 - June 1, 1998
NATHAN & LEWIS SECURITIES, INC.
February 18, 1992 - December 31, 1993
NATHAN & LEWIS SECURITIES, INC.
April 18, 1990 - August 15, 1990
FINANCIAL HORIZONS SECURITIES CORPORATION
May 5, 1989 - March 27, 1990
EQUITY SERVICES, INC.
January 2, 1986 - May 10, 1989
NATHAN & LEWIS SECURITIES, INC.
January 1, 1985 - December 23, 1985
USLIFE EQUITY SALES CORP.
October 25, 1983 - February 27, 1984
INTEGRATED RESOURCES MARKETING, INC.
June 17, 1981 - January 10, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
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
IDS LIFE INSURANCE COMPANY
CRD#: 6321 / SEC#: , 8-14124
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERIPRISE FINANCIAL, INC. | SHAREHOLDER | |
| ALVERO, GUMER CRUZ | DIRECTOR, EVP - ANNUITIES | 1975307 |
| BECHTOLD, TIMOTHY VERNON | DIRECTOR, PRESIDENT | 1621000 |
| BERMAN, ARTHUR HOWARD | DIRECTOR, EVP - FINANCE | 4591628 |
| RUETHER, JULIE ANN | CHIEF COMPLIANCE OFFICER | 1090661 |
| SCHWARZMANN, MARK EDWARD | DIRECTOR, CEO, COB | 4742555 |
| STEWART, DAVID KENT | VICE PRESIDENT AND CONTROLLER | 2990869 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
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