Mary G. Alton
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mary Grace Alton, who also goes by Marygrace Alton, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1996. Mary had worked at 8 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 31, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2021 - March 21, 2023
RIVERSOURCE DISTRIBUTORS, INC.
April 7, 2003 - August 8, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 22, 2002 - April 23, 2002
IDS LIFE INSURANCE COMPANY
January 22, 2002 - January 8, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
November 2, 2000 - December 5, 2001
WELLS FARGO INVESTMENTS, LLC
April 25, 2000 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
April 12, 2000 - October 29, 2001
WELLS FARGO SECURITIES INC.
April 14, 1999 - April 24, 2000
MORGAN STANLEY DW INC.
July 9, 1996 - March 22, 1999
TRANSAMERICA FINANCIAL ADVISORS, 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
Exams
Series 6TO
Date: 12/17/2021
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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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