Daniel R. Holt
Professional summary
Daniel Robert Holt, who also goes by Dan Holt, Daniel R Holt, is a registered financial professional currently at RIVERSOURCE DISTRIBUTORS, INC. located in Minneapolis, Minnesota.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 1992. Daniel has worked at 5 firms and has passed the Series 63, Series 6TO, SIE, Series 7, Series 6, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel Robert Holt's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 1, 2025 - Present
RIVERSOURCE DISTRIBUTORS, INC.
Office #1: 901 3rd Ave S, Minneapolis, MN 55402October 17, 2023 - February 4, 2025
THRIVENT INVESTMENT MANAGEMENT INC.
September 2, 2022 - August 15, 2023
RIVERSOURCE DISTRIBUTORS, INC.
December 7, 2017 - March 9, 2018
U.S. BANCORP INVESTMENTS, INC.
April 19, 2017 - October 4, 2017
U.S. BANCORP INVESTMENTS, INC.
April 21, 1999 - May 11, 1999
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
January 22, 1992 - April 24, 1998
FIDELITY BROKERAGE 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
Series 6TO
Date: 9/2/2022
Investment Company Products/Variable Contracts Representative ExaminationSeries 8
Date: 11/19/1996
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
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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