Matthew D. Hartigan
Professional summary
Matthew Daniel Hartigan JR is a registered financial professional currently at RIVERSOURCE DISTRIBUTORS, INC. located in Minneapolis, Minnesota.
Matthew is registered as a RR (Registered Representative) and started their career in finance in 1981. Matthew has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Matthew Daniel Hartigan JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 1, 2007 - Present
RIVERSOURCE DISTRIBUTORS, INC.
Office #1: 901 3rd Ave S, Minneapolis, MN 55402November 22, 2004 - December 31, 2006
IDS LIFE INSURANCE COMPANY
November 22, 2004 - January 1, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
February 17, 2004 - October 5, 2004
EAGLE ONE INVESTMENTS, LLC
February 11, 2004 - October 5, 2004
EAGLE ONE INVESTMENTS, LLC
August 13, 2001 - October 28, 2002
VERAVEST INVESTMENTS, INC.
December 21, 1991 - June 15, 1999
FIDELITY BROKERAGE SERVICES LLC
December 18, 1981 - December 19, 1991
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/16/2024)
(1/19/2024)
(1/10/2024)
(1/10/2024)
(1/11/2024)
(6/19/2007)
(9/8/2022)
(1/11/2024)
(6/9/2023)
(1/10/2024)
(1/11/2024)
(1/10/2024)
(1/11/2024)
(8/23/2023)
(1/11/2024)
Exams
FINRA
Current Firm
RIVERSOURCE DISTRIBUTORS, INC.
CRD#: 139135 / SEC#: , 8-67196
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERIPRISE FINANCIAL, INC | SHAREHOLDER | |
| ALVERO, GUMER CRUZ | CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER | 1975307 |
| KNEESHAW, JESSICA A | DIRECTOR | 4619188 |
| LASSWELL, MARK THOMAS | CHIEF COMPLIANCE OFFICER | 2092593 |
| MATTOX, MICHAEL SCOTT | CHIEF FINANCIAL OFFICER | 4383501 |
| MINELLA, PAULA J | GENERAL COUNSEL | 7355568 |
| SHERMAN, KARA DALY | DIRECTOR (TEXAS DESIGNATED OFFICER) | 4567825 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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