Susan P. Bader
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.
Susan Poppoon Bader, who also goes by Susan Bader, Susan Jean Poppoon, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1986. Susan had worked at 19 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2016 - December 31, 2023
RIVERSOURCE DISTRIBUTORS, INC.
February 12, 2015 - June 17, 2016
NORTHERN LIGHTS DISTRIBUTORS, LLC
December 13, 2010 - May 22, 2014
METLIFE INVESTORS DISTRIBUTION COMPANY
March 2, 2005 - November 12, 2010
PACIFIC SELECT DISTRIBUTORS, LLC
July 6, 2004 - February 7, 2005
ALLIANZ LIFE FINANCIAL SERVICES, LLC
November 14, 2003 - July 23, 2004
LINCOLN FINANCIAL DISTRIBUTORS, INC.
August 7, 2002 - November 14, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 7, 2002 - November 15, 2003
OSAIC FA, INC.
March 27, 2000 - August 3, 2001
KEYBANC CAPITAL MARKETS INC.
December 5, 1996 - March 28, 2000
FORESIDE FUNDS DISTRIBUTORS LLC
January 5, 1996 - November 5, 1996
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
February 24, 1994 - January 5, 1996
ROCHESTER FUND DISTRIBUTORS
May 7, 1992 - December 7, 1993
UBS FINANCIAL SERVICES INC.
July 18, 1991 - April 24, 1992
CITICORP FINANCIAL SERVICES,INC.
June 6, 1991 - April 24, 1992
CITICORP INVESTMENT SERVICES
August 17, 1990 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
August 17, 1990 - June 10, 1991
MONY SECURITIES CORPORATION
February 13, 1987 - July 20, 1988
COMMUNITY SECURITIES, INC.
November 21, 1986 - March 5, 1987
JMB SECURITIES CORPORATION
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
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.
