James L. Kuny
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.
James Lawrence Kuny, who also goes by Jim Kuny, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1992. James had worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, 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
June 24, 2016 - December 7, 2021
RIVERSOURCE DISTRIBUTORS, INC.
April 1, 2015 - June 24, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
March 25, 2015 - June 24, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
September 19, 2012 - July 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 23, 2012 - July 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 26, 1999 - November 4, 2005
RBC CAPITAL MARKETS, LLC
April 22, 1996 - March 3, 1999
ROBERT W. BAIRD & CO. INCORPORATED
February 17, 1992 - April 23, 1996
JOHN G. KINNARD AND COMPANY, INCORPORATED
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
Series 7TO
Date: 3/1/2024
General Securities Representative ExaminationCurrent 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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