David G. Baldwin
Professional summary
David Guy Baldwin, CFP® is a registered financial professional currently at RIVERSOURCE DISTRIBUTORS, INC. located in Minneapolis, Minnesota.
David is registered as a RR (Registered Representative) and started their career in finance in 1983. David has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Guy Baldwin's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 1, 2007 - Present
RIVERSOURCE DISTRIBUTORS, INC.
Office #1: 901 3rd Ave S, Minneapolis, MN 55402August 22, 2000 - December 31, 2006
IDS LIFE INSURANCE COMPANY
August 22, 2000 - January 1, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
October 28, 1998 - March 29, 2001
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
March 1, 1996 - November 26, 1996
MML INVESTORS SERVICES, LLC
July 7, 1994 - March 1, 1996
G. R. PHELPS & CO., INC.
July 1, 1989 - August 24, 1993
FORTH FINANCIAL SECURITIES, CORPORATION
August 8, 1983 - March 7, 1989
LUTHERAN BROTHERHOOD SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/19/2022)
(4/19/2022)
(4/19/2022)
(4/19/2022)
(4/19/2022)
(4/19/2022)
(10/6/2008)
(10/6/2008)
(1/7/2013)
(12/10/2024)
(1/1/2007)
(10/6/2008)
(4/20/2022)
(10/6/2008)
(4/19/2022)
(12/10/2024)
(10/6/2008)
(8/14/2025)
(4/19/2022)
(10/6/2008)
(1/16/2015)
(4/19/2022)
(7/10/2023)
(10/6/2008)
(4/19/2022)
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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