Richard F. Connington
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.
Richard Francis Connington was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1989. Richard had worked at 6 firms and has passed the Series 66, Series 7, Series 10, Series 9 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
January 1, 2007 - July 1, 2013
RIVERSOURCE DISTRIBUTORS, INC.
June 27, 2003 - December 31, 2006
IDS LIFE INSURANCE COMPANY
June 27, 2003 - January 1, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
December 13, 2001 - June 16, 2003
NEW ENGLAND SECURITIES
October 19, 2001 - June 16, 2003
NEW ENGLAND SECURITIES
February 22, 2001 - August 31, 2001
PRUDENTIAL EQUITY GROUP, LLC
June 20, 2000 - March 27, 2001
PRUCO SECURITIES, LLC.
April 18, 1989 - June 13, 2000
IDS LIFE INSURANCE COMPANY
April 18, 1989 - June 13, 2000
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
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