James A. Ferrell
Professional summary
James Andrew Ferrell, who also goes by James A Ferrell, is a registered financial professional currently at RIVERSOURCE DISTRIBUTORS, INC. located in Minneapolis, Minnesota.
James is registered as a RR (Registered Representative) and started their career in finance in 1998. James has worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Andrew Ferrell's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 31, 2012 - Present
RIVERSOURCE DISTRIBUTORS, INC.
Office #1: 901 3rd Ave S, Minneapolis, MN 55402August 4, 2009 - January 31, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
March 20, 2006 - May 15, 2008
AST INVESTMENT SERVICES, INC.
March 12, 2003 - March 25, 2004
AMERICAN SKANDIA ADVISORY SERVICES, INC.
December 4, 1998 - May 15, 2008
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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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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