Richard D. Rothenberger
Professional summary
Richard Darren Rothenberger, who also goes by Richard Darren Rothenberger, Richard Rothenberger, is a registered financial professional currently at RIVERSOURCE DISTRIBUTORS, INC. located in Minneapolis, Minnesota.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Darren Rothenberger's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 16, 2025 - Present
RIVERSOURCE DISTRIBUTORS, INC.
Office #1: 901 3rd Ave S, Minneapolis, MN 55402December 5, 2024 - May 6, 2025
P.J. ROBB VARIABLE, LLC
November 22, 2023 - December 2, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
October 18, 2023 - December 2, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
December 18, 2013 - October 18, 2023
RIVERSOURCE DISTRIBUTORS, INC.
June 8, 2011 - January 2, 2014
LPL FINANCIAL LLC
May 3, 2005 - May 6, 2011
NYLIFE DISTRIBUTORS LLC
June 8, 2004 - April 13, 2005
LIBERTY LIFE DISTRIBUTORS LLC
October 13, 1993 - June 2, 2004
BNY MELLON SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/16/2025)
(6/16/2025)
(6/16/2025)
(6/16/2025)
(6/16/2025)
(6/16/2025)
(6/16/2025)
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
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.
