Arthena K. Kurtz
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.
Arthena Kay Kurtz, who also goes by Arthena K Haza, Arthena Kay Haza, Tina Haza, was a registered financial professional .
Arthena is a previously registered financial professional and started their career in finance in 1986. Arthena had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
June 10, 2010 - May 23, 2022
RIVERSOURCE DISTRIBUTORS, INC.
February 19, 2004 - March 18, 2009
U.S. BANCORP INVESTMENTS, INC.
February 19, 2004 - March 18, 2009
U.S. BANCORP INVESTMENTS, INC.
March 27, 2003 - November 20, 2003
BANC ONE SECURITIES CORPORATION
November 16, 1999 - November 20, 2003
BANC ONE SECURITIES CORPORATION
July 12, 1996 - October 7, 1998
BANC ONE SECURITIES CORPORATION
February 8, 1993 - May 17, 1995
BANC ONE SECURITIES CORPORATION
July 13, 1990 - November 1, 1991
BANC ONE SECURITIES CORPORATION
October 3, 1989 - July 13, 1990
BANC ONE WISCONSIN INVESTMENT SERVICES CORPORATION
September 22, 1986 - October 26, 1988
EQUITABLE ADVISORS, LLC
August 23, 1986 - October 26, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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
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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