Karl T. Dornfeld
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.
Karl Thomas Dornfeld was a registered financial professional .
Karl is a previously registered financial professional and started their career in finance in 1986. Karl had worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 27 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
January 4, 2016 - May 12, 2025
RIVERSOURCE DISTRIBUTORS, INC.
November 22, 2011 - February 12, 2016
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
October 10, 2011 - June 22, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
July 25, 2008 - November 2, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
March 29, 2007 - November 2, 2010
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
June 29, 2001 - November 2, 2001
WELLS FARGO SECURITIES INC.
June 26, 2001 - January 19, 2007
WELLS FARGO INVESTMENTS, LLC
October 22, 1986 - June 4, 2001
MJK CLEARING, 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
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent 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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