Thomas A. Willenbring
Professional summary
Thomas Anthony Willenbring is a registered financial professional currently at RIVERSOURCE DISTRIBUTORS, INC. located in Minneapolis, Minnesota.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1999. Thomas has worked at 6 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 Thomas Anthony Willenbring's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 4, 2016 - Present
RIVERSOURCE DISTRIBUTORS, INC.
Office #1: 901 3rd Ave S, Minneapolis, MN 55402December 12, 2011 - January 20, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
January 3, 2011 - November 7, 2011
WELLS FARGO CLEARING SERVICES, LLC
November 29, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
September 14, 2006 - October 19, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
June 17, 2005 - March 24, 2006
WOODBURY FINANCIAL SERVICES, INC.
March 13, 2002 - June 22, 2005
HARTFORD FUNDS DISTRIBUTORS, LLC
February 25, 1999 - December 31, 2001
WOODBURY FINANCIAL 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
(1/7/2016)
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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