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 |
|---|---|---|---|---|---|---|---|---|
| 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 | |
| Vivienne Mannah | 7176193 | 1 | 05/04/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joel Zackary Horsager | 2316733 | 7 | 10/19/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Johann Valmer Helback | 3151612 | 6 | 01/04/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joel Zackary Horsager | 2316733 | 7 | 12/18/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joel Zackary Horsager | 2316733 | 7 | 12/06/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joel Zackary Horsager | 2316733 | 7 | 12/06/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Julie Kay Guggemos | 4726245 | 1 | 09/17/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |