Kathryn M. Morrison
Professional summary
Kathryn Marie Morrison, who also goes by Kathryn King, Katie King, Kathryn M Morrison, Kathryn Morrison, Katie Morrison, is a registered financial professional currently at RIVERSOURCE DISTRIBUTORS, INC. located in Minneapolis, Minnesota.
Kathryn is registered as a RR (Registered Representative) and started their career in finance in 1994. Kathryn has worked at 5 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kathryn Marie Morrison's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 10, 2014 - Present
RIVERSOURCE DISTRIBUTORS, INC.
Office #1: 901 3rd Ave S, Minneapolis, MN 55402October 8, 2009 - June 22, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
November 24, 2006 - March 13, 2008
RIVERSOURCE DISTRIBUTORS, INC.
May 7, 2004 - December 31, 2006
IDS LIFE INSURANCE COMPANY
May 7, 2004 - June 5, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
December 4, 2000 - November 15, 2002
ALLIANZ LIFE FINANCIAL SERVICES, LLC
July 7, 1999 - October 2, 2000
IDS LIFE INSURANCE COMPANY
July 7, 1999 - October 2, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
November 29, 1994 - April 30, 1999
PRUCO SECURITIES, 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
(6/22/2017)
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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