Darrow O. Taylor

RIVERSOURCE DISTRIBUTORS

Minneapolis, MN 55402

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CRD#: 1547883

Professional summary

Darrow Orris Taylor is a registered financial professional currently at RIVERSOURCE DISTRIBUTORS, INC. located in Minneapolis, Minnesota.

Darrow is registered as a RR (Registered Representative) and started their career in finance in 1987. Darrow has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Darrow Orris Taylor's CRS (Customer Relationship Summary).

Certified licenses

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

None

Experience

Current

October 26, 2007 - Present

RIVERSOURCE DISTRIBUTORS, INC.

Office #1: 901 3rd Ave S, Minneapolis, MN 55402

CRD#: 139135

Minneapolis, MN

Past

July 10, 1998 - October 26, 2007

AMERICAN ENTERPRISE INVESTMENT SERVICES INC.

CRD#: 26506

MINNEAPOLIS, MN

Past

November 12, 1987 - March 15, 1988

JOHN G. KINNARD AND COMPANY, INCORPORATED

CRD#: 466

Past

March 25, 1987 - May 6, 1987

ROBERT S. C. PETERSON, INC.

CRD#: 6924

Past

March 25, 1987 - August 31, 1987

KIMBRIDGE & CO., INC.

CRD#: 15631

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(2/19/2024)

California
(2/19/2024)

Florida
(2/19/2024)

Indiana
(2/19/2024)

Kentucky
(2/19/2024)

Michigan
(2/19/2024)

Minnesota
(12/11/2007)

New York
(2/19/2024)

Ohio
(2/20/2024)

Tennessee
(2/19/2024)

Texas
(2/19/2024)

Exams

State Security Law Exam

Series 63

Date: 12/10/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/28/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

RIVERSOURCE DISTRIBUTORS, INC.

CRD#: 139135 / SEC#: , 8-67196

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

707 Second Avenue South, Minneapolis, MN 55474

Mailing Address

5229 Ameriprise Financial Center, Minneapolis, MN 55474

Phone number

(612) 671-7449

Established

Delaware since 12/09/2005

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

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

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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Darrow O. Taylor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Darrow Orris Taylor's CRS (Customer Relationship Summary).

Certified licenses

Experience

RIVERSOURCE DISTRIBUTORS, INC.

AMERICAN ENTERPRISE INVESTMENT SERVICES INC.

JOHN G. KINNARD AND COMPANY, INCORPORATED

ROBERT S. C. PETERSON, INC.

KIMBRIDGE & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/10/2007

SIE

Date: 10/1/2018

Series 7

Date: 5/28/1998

FINRA

Current Firm

RIVERSOURCE DISTRIBUTORS, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

RIVERSOURCE DISTRIBUTORS, INC.

TRUST BUT VERIFY

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