Denise A. Settimi
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.
Denise Ann Settimi, who also goes by Denise Ann Peterson, Denise A Settimi, was a registered financial professional .
Denise is a previously registered financial professional and started their career in finance in 1996. Denise had worked at 8 firms and has passed the SIE, Series 7, Series 6, Series 51 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
September 12, 2018 - April 28, 2024
RIVERSOURCE DISTRIBUTORS, INC.
May 25, 2017 - September 12, 2018
OSAIC FA, INC.
July 26, 2010 - April 27, 2015
ALLIANZ LIFE FINANCIAL SERVICES, LLC
January 25, 2008 - April 27, 2009
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
January 25, 2008 - April 27, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
May 29, 2003 - April 27, 2009
HARTFORD FUNDS DISTRIBUTORS, LLC
November 12, 1996 - April 21, 2003
IDS LIFE INSURANCE COMPANY
November 12, 1996 - April 21, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
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.
