Matthew C. Lee
Professional summary
Matthew Clark Lee is a registered financial professional currently at RIVERSOURCE DISTRIBUTORS, INC. located in Minneapolis, Minnesota.
Matthew is registered as a RR (Registered Representative) and started their career in finance in 1998. Matthew has worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Matthew Clark Lee's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 19, 2016 - Present
RIVERSOURCE DISTRIBUTORS, INC.
Office #1: 901 3rd Ave S, Minneapolis, MN 55402June 13, 2016 - August 24, 2016
QUESTAR CAPITAL CORPORATION
January 2, 2014 - June 13, 2014
THE LEADERS GROUP, INC.
April 26, 2012 - December 31, 2013
VOYA FINANCIAL ADVISORS, INC.
April 19, 2007 - May 3, 2010
SLD AMERICA EQUITIES, INC.
January 1, 2005 - June 6, 2006
HORNOR, TOWNSEND & KENT, LLC
June 13, 2002 - December 31, 2002
LOCUST STREET SECURITIES, INC.
November 3, 2000 - January 11, 2002
SECURITIES AMERICA, INC.
August 22, 2000 - November 2, 2000
LIFEMARK SECURITIES CORP.
March 7, 2000 - September 21, 2000
HIMCO DISTRIBUTION SERVICES COMPANY
December 14, 1998 - November 1, 1999
AMERICAN ENTERPRISE INVESTMENT SERVICES 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
(8/19/2016)
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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