Our Staff has compiled our research into a database of FINRA Broker Disclosures for Riversource Distributors, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Thawee Vang | 7690127 | 2 | 09/12/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Tammy Kaufman | 4634849 | 2 | 07/15/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Johann Valmer Helback | 3151612 | 6 | 05/11/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Johann Valmer Helback | 3151612 | 6 | 12/23/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joel Zackary Horsager | 2316733 | 7 | 09/19/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sandy Lee Mikaelson | 4171318 | 2 | 05/09/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Vivienne Mannah | 7176193 | 1 | 05/04/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sandy Lee Mikaelson | 4171318 | 2 | 04/13/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joel Zackary Horsager | 2316733 | 7 | 10/19/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Heather Rebecca Gilsrud | 5498634 | 1 | 04/02/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |