Steven W. Andros
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.
Steven Wesley Andros was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1989. Steven had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 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
October 27, 2015 - June 7, 2018
RIVERSOURCE DISTRIBUTORS, INC.
November 2, 2011 - September 10, 2015
FINTEGRA, LLC
November 2, 2011 - September 10, 2015
FINTEGRA, LLC
May 22, 2006 - February 25, 2011
1ST GLOBAL ADVISORS INC
October 22, 2004 - February 25, 2011
1ST GLOBAL CAPITAL CORP.
December 2, 2003 - October 21, 2004
MONY SECURITIES CORPORATION
December 2, 2003 - October 21, 2004
MONY SECURITIES CORPORATION
June 29, 1998 - December 2, 2003
TRUSTED SECURITIES ADVISORS CORP.
January 11, 1993 - December 2, 2003
TRUSTED SECURITIES ADVISORS CORP.
January 30, 1992 - January 7, 1993
LINCOLN FINANCIAL DISTRIBUTORS, INC.
September 19, 1989 - December 31, 1991
CIGNA CAPITAL BROKERAGE, INC.
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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