Benjamin A. Ezaki
Professional summary
Benjamin Arata Ezaki III, who also goes by Benjamin Arata Ezaki, Benjamine Arata Ezaki III, is a registered financial professional currently at RIVERSOURCE DISTRIBUTORS, INC. located in Minneapolis, Minnesota.
Benjamin is registered as a RR (Registered Representative) and started their career in finance in 1994. Benjamin has worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 31 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Benjamin Arata Ezaki III's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 5, 2016 - Present
RIVERSOURCE DISTRIBUTORS, INC.
Office #1: 901 3rd Ave S, Minneapolis, MN 55402July 6, 2015 - October 5, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
May 28, 2015 - October 5, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
March 1, 2012 - July 15, 2013
U.S. BANCORP INVESTMENTS, INC.
May 3, 1995 - December 3, 2002
MORGAN STANLEY DW INC.
July 6, 1994 - April 11, 1995
RBC CAPITAL MARKETS, 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
(10/5/2016)
Exams
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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