John R. Oberg
Professional summary
John Roger Oberg is a registered financial professional currently at AMERIPRISE FINANCIAL SERVICES, LLC located in Minneapolis, Minnesota and RIVERSOURCE DISTRIBUTORS, INC. located in Minneapolis, Minnesota.
John is registered as a RR (Registered Representative) and started their career in finance in 1997. John has worked at 8 firms and has passed the Series 65, Series 63, Series 6TO, Series 52TO, SIE, Series 7, Series 26, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Roger Oberg's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 2, 2015 - Present
AMERIPRISE FINANCIAL SERVICES, LLC
Office #1: 901 3rd Ave S, Minneapolis, MN 55402-3367September 7, 2023 - Present
RIVERSOURCE DISTRIBUTORS, INC.
Office #1: 901 3rd Ave S, Minneapolis, MN 55402January 13, 2011 - October 21, 2015
VOYA FINANCIAL PARTNERS, LLC
January 13, 2011 - October 21, 2015
VOYA FINANCIAL ADVISORS, INC.
December 5, 2005 - October 21, 2015
DIRECTED SERVICES LLC
April 3, 2001 - October 21, 2015
SLD AMERICA EQUITIES, INC.
October 28, 1999 - December 31, 2003
VOYA FINANCIAL ADVISORS, INC.
February 23, 1999 - October 6, 1999
WELLS FARGO SECURITIES INC.
January 15, 1997 - October 14, 1999
WELLS FARGO BROKERAGE SERVICES, L.L.C.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/2/2015)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
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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