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HC

Henderson A. Coley

AMERIPRISE FINANCIAL SERVICES
Minneapolis, MN 55402-3367
Some features on this profile are disabled
CRD#: 3151587
HC

Professional summary

Henderson Anton Coley, who also goes by Henderson Anton Coley IV, Tony Coley, is a registered financial professional currently at AMERIPRISE FINANCIAL SERVICES, LLC located in Minneapolis, Minnesota and RIVERSOURCE DISTRIBUTORS, INC. located in Minneapolis, Minnesota.

Henderson is registered as a RR (Registered Representative) and started their career in finance in 2009. Henderson has worked at 4 firms and has passed the SIE, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Henderson Anton Coley Iv | Tony Coley

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Henderson Anton Coley's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 20, 2011 - Present

AMERIPRISE FINANCIAL SERVICES, LLC

Office #1: 901 3rd Ave S, Minneapolis, MN 55402-3367
RIA
BD
CRD#: 6363
Minneapolis, MN
Current

July 12, 2012 - Present

RIVERSOURCE DISTRIBUTORS, INC.

Office #1: 901 3rd Ave S, Minneapolis, MN 55402
BD
CRD#: 139135
Minneapolis, MN
Past

May 12, 2011 - August 21, 2023

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

BD
CRD#: 840
MINNEAPOLIS, MN
Past

June 23, 2009 - April 15, 2011

ALLIANZ LIFE FINANCIAL SERVICES, LLC

BD
CRD#: 612
GOLDEN VALLEY, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 6/22/2009
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 11/16/2009
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RD
RIVERSOURCE DISTRIBUTORS, INC.
RIVERSOURCE DISTRIBUTORS, INC.

CRD#: 139135 / SEC#: , 8-67196

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
707 Second Avenue South, Minneapolis, MN 55474
Mailing Address
5229 Ameriprise Financial Center, Minneapolis, MN 55474
Phone number
(612) 671-7449
Established
Delaware since 12/09/2005
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
AMERIPRISE FINANCIAL, INCSHAREHOLDER
ALVERO, GUMER CRUZCHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER1975307
KNEESHAW, JESSICA ADIRECTOR4619188
LASSWELL, MARK THOMASCHIEF COMPLIANCE OFFICER2092593
MATTOX, MICHAEL SCOTTCHIEF FINANCIAL OFFICER4383501
MINELLA, PAULA JGENERAL COUNSEL7355568
SHERMAN, KARA DALYDIRECTOR (TEXAS DESIGNATED OFFICER)4567825

Disclosures

Regulatory Event2
Arbitration1

Red Flags

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Company Information

RIVERSOURCE DISTRIBUTORS, INC.

CRD#: 139135Minneapolis, MN 55402-3367

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