Gregory J. Toohey
Professional summary
Gregory John Toohey, who also goes by Gregory J Toohey, is a registered financial professional currently at AMERIPRISE FINANCIAL SERVICES, LLC located in Minneapolis, Minnesota and AMERICAN ENTERPRISE INVESTMENT SERVICES INC. located in Minneapolis, Minnesota.
Gregory is registered as a RR (Registered Representative) and started their career in finance in 2001. Gregory has worked at 6 firms and has passed the Series 66, Series 63, Series 52TO, Series 57TO, SIE, Series 55, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gregory John Toohey's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 9, 2007 - Present
AMERIPRISE FINANCIAL SERVICES, LLC
Office #1: 901 3rd Ave S, Minneapolis, MN 55402-3367April 5, 2010 - Present
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
Office #1: 901 3rd Ave S, Minneapolis, MN 55402July 19, 2011 - Present
RIVERSOURCE DISTRIBUTORS, INC.
Office #1: 707 Second Avenue South, Minneapolis, MN 55474March 23, 2005 - September 18, 2007
U.S. BANCORP INVESTMENTS, INC.
May 20, 2003 - March 7, 2005
FINTEGRA, LLC
April 3, 2001 - April 28, 2003
PIPER SANDLER & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/9/2007)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/7/2002
Limited Representative-Equity Trader ExamFINRA
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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