Vibha J. Rawal
Professional summary
Vibha J Rawal, who also goes by VIbha Janarden Rawal, Veba J Rawal, is a registered financial professional currently at RIVERSOURCE DISTRIBUTORS, INC. located in Minneapolis, Minnesota.
Vibha is registered as a RR (Registered Representative) and started their career in finance in 1997. Vibha has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Vibha J Rawal's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 9, 2021 - Present
RIVERSOURCE DISTRIBUTORS, INC.
Office #1: 901 3rd Ave S, Minneapolis, MN 55402January 29, 2020 - April 16, 2021
MML INVESTORS SERVICES, LLC
January 16, 2020 - April 16, 2021
MML INVESTORS SERVICES, LLC
October 10, 2016 - December 31, 2019
ALLSTATE FINANCIAL ADVISORS, LLC
October 6, 2016 - December 31, 2019
ALLSTATE FINANCIAL SERVICES, LLC
December 7, 2007 - September 7, 2016
PRINCIPAL SECURITIES, INC.
July 30, 2007 - September 7, 2016
PRINCIPAL SECURITIES, INC.
April 18, 2001 - July 17, 2003
ALLEN DOUGLAS SECURITIES, INC.
January 21, 1998 - April 20, 2001
MORGAN STANLEY DW INC.
June 23, 1997 - February 6, 1998
ELECTRONIC ACCESS DIRECT, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/3/2021)
(11/30/2021)
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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