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 |
|---|---|---|---|---|---|---|---|---|
| Joel Zackary Horsager | 2316733 | 8 | 09/19/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Sandy Lee Mikaelson | 4171318 | 3 | 05/09/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Stephen Florman | 7578183 | 2 | 07/08/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sandy Lee Mikaelson | 4171318 | 3 | 04/13/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joel Zackary Horsager | 2316733 | 8 | 10/19/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Stephen Florman | 7578183 | 2 | 04/24/2020 | 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 |
| Daniel R Holt | 2196256 | 1 | 01/22/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Johann Valmer Helback | 3151612 | 5 | 01/04/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joel Zackary Horsager | 2316733 | 8 | 12/18/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |