Karl Thomas Dornfeld
Professional Summary
Karl Thomas Dornfeld was a registered financial advisor. Karl was a previously registered financial professional and started their career in finance 1986 - 2025. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
40 years in the financial services industry
Current & Past Employments
Past
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Current Firm
RIVERSOURCE DISTRIBUTORS, INC.
Contact Information
Main Address
901 3rd Ave S, Minneapolis, MN 55402Mailing Address
5229 Ameriprise Financial Center, Minneapolis, MN 55474Phone Number
(612) 671-7449Established
Delaware since 12/09/2005Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERIPRISE FINANCIAL, INC | SHAREHOLDER | — |
| BUSCHY, MATTHEW | DIRECTOR (TEXAS DESIGNATED OFFICER) | 4785321 |
| GARDNER, TRACY HOHENSEE | CHIEF COMPLIANCE OFFICER | 2598167 |
| HORWITH, THEODORE ROBERT | CHIEF FINANCIAL OFFICER | 3257001 |
| KNEESHAW, JESSICA A | DIRECTOR | 4619188 |
| MINELLA, PAULA J | GENERAL COUNSEL | 7355568 |
| POOR, JASON JOHN | CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER | 2704246 |
Disclosures
Regulatory Event
2Arbitration
1Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Feb 2002About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2002About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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