Matthew Daniel Hartigan Jr
Professional Summary
Matthew Daniel Hartigan JR is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
44 years in the financial services industry
Current & Past Employments
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Current Firm
RIVERSOURCE DISTRIBUTORS, INC.
Contact Information
Main Address
901 3rd Ave S, Minneapolis, MN 55402Mailing Address
5229 Ameriprise Financial Center, Minneapolis, MN 55474Phone Number
(612) 671-7449Established
Delaware since 12/09/2005Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERIPRISE FINANCIAL, INC | SHAREHOLDER | — |
| BUSCHY, MATTHEW | DIRECTOR (TEXAS DESIGNATED OFFICER) | 4785321 |
| GARDNER, TRACY HOHENSEE | CHIEF COMPLIANCE OFFICER | 2598167 |
| HORWITH, THEODORE ROBERT | CHIEF FINANCIAL OFFICER | 3257001 |
| KNEESHAW, JESSICA A | DIRECTOR | 4619188 |
| MINELLA, PAULA J | GENERAL COUNSEL | 7355568 |
| POOR, JASON JOHN | CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER | 2704246 |
Disclosures
Regulatory Event
2Arbitration
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(1/16/2024)
(1/19/2024)
(1/10/2024)
(1/10/2024)
(1/11/2024)
(6/19/2007)
(9/8/2022)
(1/11/2024)
(1/10/2024)
(1/11/2024)
(1/11/2024)
(8/23/2023)
(1/11/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Aug 1988About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 1981About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Matthew Daniel Hartigan JR's CRS (Customer Relationship Summary).
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