Mark T. Lasswell
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.
Mark Thomas Lasswell was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1991. Mark had worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 14, Series 4, Series 53, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2019 - April 19, 2026
RIVERSOURCE DISTRIBUTORS, INC.
November 26, 2018 - April 19, 2026
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
September 10, 2018 - April 19, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
January 21, 2014 - August 27, 2018
SECURITIES AMERICA, INC.
February 2, 2012 - January 21, 2014
WELLS FARGO CLEARING SERVICES, LLC
November 23, 2011 - January 13, 2012
WELLS FARGO SECURITIES, LLC
November 6, 2009 - December 23, 2009
WELLS FARGO SECURITIES, LLC
March 30, 2001 - December 23, 2009
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
May 9, 2000 - November 6, 2009
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 18, 1998 - April 27, 2000
PRUCO SECURITIES, LLC.
April 5, 1991 - November 10, 1998
WELLS FARGO BROKERAGE SERVICES, L.L.C.
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional 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
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.
