Jon S. Stenberg
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.
Jon S Stenberg, who also goes by Jon Scott Stenberg, was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 1992. Jon had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2011 - October 27, 2017
RIVERSOURCE DISTRIBUTORS, INC.
May 20, 2008 - November 12, 2008
NYLIFE SECURITIES LLC
May 15, 2008 - March 1, 2010
NYLIFE DISTRIBUTORS LLC
August 14, 2006 - April 21, 2008
UBS FINANCIAL SERVICES INC.
December 31, 2000 - April 7, 2006
LINCOLN FINANCIAL DISTRIBUTORS, INC.
June 14, 2000 - December 31, 2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 1, 1998 - December 31, 2000
OSAIC FA, INC.
May 13, 1998 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
October 15, 1993 - December 2, 1997
VOYA FINANCIAL PARTNERS, LLC
April 21, 1992 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
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
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.
