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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Anthony Willenbring | 3169128 | 3 | 05/13/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephanie Jaynelle Lewis | 4076117 | 1 | 04/20/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joel David Stockwell | 6742822 | 1 | 03/24/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joel Zackary Horsager | 2316733 | 8 | 10/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jessica Rose Karels | 4540568 | 8 | 09/14/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jessica Rose Karels | 4540568 | 8 | 09/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jessica Rose Karels | 4540568 | 8 | 08/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jessica Rose Karels | 4540568 | 8 | 06/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jessica Rose Karels | 4540568 | 8 | 05/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Edward Jennings | 6862784 | 1 | 05/27/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |