Mark M. Leahy
Professional summary
Mark Maloney Leahy is a registered financial professional currently at RIVERSOURCE DISTRIBUTORS, INC. located in Minneapolis, Minnesota.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1999. Mark has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark Maloney Leahy's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 1, 2007 - Present
RIVERSOURCE DISTRIBUTORS, INC.
Office #1: 901 3rd Ave S, Minneapolis, MN 55402October 11, 2004 - December 31, 2006
IDS LIFE INSURANCE COMPANY
October 11, 2004 - January 1, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
January 8, 2002 - September 30, 2004
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
December 31, 2000 - November 8, 2001
LINCOLN FINANCIAL DISTRIBUTORS, INC.
May 25, 2000 - December 31, 2000
LINCOLN RETIREMENT ADVISORS, INC.
October 19, 1999 - May 4, 2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 19, 1999 - May 4, 2000
OSAIC FA, 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
(4/7/2021)
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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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Check for any disclosures as part of your thorough research when choosing an advisor.
