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Dennis Albert Draeger

Dennis A. Draeger

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CRD#: 1299233
Dennis Albert Draeger

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.

Dennis Albert Draeger, CFP® was a registered financial professional .

Dennis is a previously registered financial professional and started their career in finance in 1984. Dennis had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 10, Series 9 and Series 24 exams.

top-8-questions

Question & Answer

What are your service offerings?
Tax Planning
Comprehensive Financial Planni...
Estate Planning
Investment Planning
Insurance Planning
Employee and Employer Plan Ben...
Education Planning
Retirement Planning
Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Real Estate Ownership; Commercial; 111 East Lincoln AveFergus falls, MN 56537, , , , , ; 02/14/2012 / Commercial; 107 E Lincoln AveFergus Falls, MN 56537, , , , , ; Investment-Related; 01/04/2016 / Commercial; 110 E Lincoln AveFergus Falls, MN 56537, , , , , ; Investment-Related; 11/01/2016 / Commercial; 1108 S Main StAberdeen, SD 57403, , , , , ; Investment-Related; 07/24/2017. Business Ownership; Other; Other; 505 E Main AveSuite 100Bismarck, ND 58501-4435, , , , , ; 02/14/2012; 1 to 9 hours per month; / Other; Other; 505 E Main Ave Bismarck, ND 58501, , , , , ; Not Investment-Related; 07/01/2016; 0 hours per month; 0 during trading hours / Other; Other; 125 Buckskin Ave , Suite 200 , Bismarck, ND, 58503; Not Investment-Related; 06/26/2023; 0 hours per month; 0 during trading hours.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 1993

Experience

Past

October 30, 2002 - July 3, 2006

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

February 6, 1990 - December 31, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
FERGUS FALLS, MN
Past

August 28, 1984 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

BD
CRD#: 6320
Past

August 28, 1984 - January 3, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
FERGUS FALLS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/2/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/28/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/16/1986
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 8/29/1984
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/27/1984
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/28/2003
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/28/2003
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/12/1997
General Securities Principal Examination

Current Firm

IL
IDS LIFE INSURANCE COMPANY
IDS LIFE INSURANCE COMPANY

CRD#: 6321 / SEC#: , 8-14124

BD
Terminated by SEC on 02/17/2007
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Contact information

Main Address
Mailing Address
Phone number
Established
Minnesota since 08/07/1957
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
AMERIPRISE FINANCIAL, INC.SHAREHOLDER
ALVERO, GUMER CRUZDIRECTOR, EVP - ANNUITIES1975307
BECHTOLD, TIMOTHY VERNONDIRECTOR, PRESIDENT1621000
BERMAN, ARTHUR HOWARDDIRECTOR, EVP - FINANCE4591628
RUETHER, JULIE ANNCHIEF COMPLIANCE OFFICER1090661
SCHWARZMANN, MARK EDWARDDIRECTOR, CEO, COB4742555
STEWART, DAVID KENTVICE PRESIDENT AND CONTROLLER2990869

Disclosures

Regulatory Event8
Arbitration2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

IDS LIFE INSURANCE COMPANY

Private Wealth AdvisorCRD#: 6321

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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