Richard A. Larson
Professional summary
Richard Alan Larson, who also goes by Richard A Larson, is a registered financial professional currently at AMERICAN ENTERPRISE INVESTMENT SERVICES INC. located in Minneapolis, Minnesota.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2000. Richard has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Alan Larson's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 19, 2010 - Present
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
Office #1: 901 3rd Ave S, Minneapolis, MN 55402February 5, 2008 - May 28, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
December 13, 2000 - December 5, 2007
WELLS FARGO INVESTMENTS, LLC
June 28, 2000 - December 13, 2000
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
(2/19/2010)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/9/2008
Limited Representative-Equity Trader ExamFINRA
Current Firm
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
CRD#: 26506 / SEC#: , 8-42582
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| CARR, GREGORY GERARD | DIRECTOR, CHIEF EXECUTIVE OFFICER, PRESIDENT | 2210835 |
| FLANSBURG, BRETT ALLEN | VICE PRESIDENT, AWM COMPLIANCE AND CHIEF COMPLIANCE OFFICER | 3179474 |
| GERDES, JOSEPH FRANCIS | DIRECTOR, CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 2391989 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| SENNE, ANN MARIE | DIRECTOR | 2515669 |
| SWEENEY, JOSEPH EDWARD | DIRECTOR | 4668713 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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