Todd R. Sorenson
Professional summary
Todd Rollin Sorenson is a registered financial professional currently at RIVERSOURCE DISTRIBUTORS, INC. located in Minneapolis, Minnesota.
Todd is registered as a RR (Registered Representative) and started their career in finance in 2005. Todd has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Todd Rollin Sorenson's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 10, 2011 - Present
RIVERSOURCE DISTRIBUTORS, INC.
Office #1: 707 Second Avenue South, Minneapolis, MN 55474December 20, 2007 - February 11, 2011
U.S. BANCORP INVESTMENTS, INC.
April 16, 2007 - December 12, 2007
TRANSAMERICA CAPITAL, LLC
October 27, 2005 - April 9, 2007
U.S. BANCORP INVESTMENTS, 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
(5/10/2011)
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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