Johann V. Helback
Professional summary
Johann Valmer Helback is a registered financial professional currently at RIVERSOURCE DISTRIBUTORS, INC. located in Minneapolis, Minnesota.
Johann is registered as a RR (Registered Representative) and started their career in finance in 2001. Johann has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Johann Valmer Helback's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 2, 2022 - Present
RIVERSOURCE DISTRIBUTORS, INC.
Office #1: 901 3rd Ave S, Minneapolis, MN 55402January 3, 2017 - September 2, 2022
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
February 3, 2014 - December 31, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
February 28, 2012 - January 18, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
January 3, 2011 - January 10, 2012
WELLS FARGO CLEARING SERVICES, LLC
July 22, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
January 25, 2001 - July 3, 2006
IDS LIFE INSURANCE COMPANY
January 25, 2001 - June 29, 2007
AMERIPRISE FINANCIAL SERVICES, 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
(3/7/2024)
(2/22/2024)
(3/12/2024)
(2/23/2024)
(9/2/2022)
(2/22/2024)
(2/22/2024)
(2/23/2024)
(2/23/2024)
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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