Duane L. Siegenthaler
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Duane Leland Siegenthaler, CFP® was a registered financial professional .
Duane is a previously registered financial professional and started their career in finance in 1982. Duane had worked at 3 firms and has passed the SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1993
Experience
May 23, 2001 - July 3, 2006
IDS LIFE INSURANCE COMPANY
September 18, 1999 - October 10, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
December 24, 1986 - October 10, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
February 8, 1985 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
June 9, 1982 - January 18, 1985
AMERICAN EXPRESS FINANCIAL CORPORATION
June 9, 1982 - January 18, 1985
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
IDS LIFE INSURANCE COMPANY
CRD#: 6321 / SEC#: , 8-14124
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERIPRISE FINANCIAL, INC. | SHAREHOLDER | |
| ALVERO, GUMER CRUZ | DIRECTOR, EVP - ANNUITIES | 1975307 |
| BECHTOLD, TIMOTHY VERNON | DIRECTOR, PRESIDENT | 1621000 |
| BERMAN, ARTHUR HOWARD | DIRECTOR, EVP - FINANCE | 4591628 |
| RUETHER, JULIE ANN | CHIEF COMPLIANCE OFFICER | 1090661 |
| SCHWARZMANN, MARK EDWARD | DIRECTOR, CEO, COB | 4742555 |
| STEWART, DAVID KENT | VICE PRESIDENT AND CONTROLLER | 2990869 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
IDS LIFE INSURANCE COMPANY
Financial AdvisorCRD#: 6321TRUST BUT VERIFY
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