Kenneth E. Hanson
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.
Kenneth Ernest Hanson was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1983. Kenneth had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2012 - June 13, 2025
RIVERSOURCE DISTRIBUTORS, INC.
June 29, 2011 - December 21, 2011
CABIN SECURITIES, INC.
June 12, 2008 - December 31, 2010
SIGNATOR FINANCIAL SERVICES, INC.
February 15, 2008 - June 19, 2008
SECURITIES MANAGEMENT & RESEARCH, INC.
November 1, 2005 - February 21, 2006
KELMOORE INVESTMENT COMPANY, INC.
November 1, 2005 - February 21, 2006
KELMOORE INVESTMENT COMPANY, INC.
August 22, 2005 - September 26, 2005
KELMOORE INVESTMENT COMPANY, INC.
June 4, 2001 - September 26, 2005
KELMOORE INVESTMENT COMPANY, INC.
May 17, 1999 - December 8, 1999
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 5, 1998 - May 20, 1999
AFSG SECURITIES CORPORATION
December 2, 1991 - December 5, 1997
WOODBURY FINANCIAL SERVICES, INC.
September 30, 1988 - August 29, 1989
WAMU INVESTMENTS, INC.
March 1, 1983 - October 3, 1988
INVEST FINANCIAL CORPORATION
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
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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