Mark T. Lasswell
Professional summary
Mark Thomas Lasswell is a registered financial professional currently at AMERIPRISE FINANCIAL SERVICES, LLC located in Minneapolis, Minnesota and AMERICAN ENTERPRISE INVESTMENT SERVICES INC. located in Minneapolis, Minnesota.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1991. Mark has 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) - BD
Click below to view Mark Thomas Lasswell's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 10, 2018 - Present
AMERIPRISE FINANCIAL SERVICES, LLC
Office #1: 901 3rd Ave S, Minneapolis, MN 55402-3367November 26, 2018 - Present
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
Office #1: 901 3rd Ave S, Minneapolis, MN 55402March 11, 2019 - Present
RIVERSOURCE DISTRIBUTORS, INC.
Office #1: 901 3rd Ave S, Minneapolis, MN 55402January 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
(9/10/2018)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
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.
