KC
Kellogg M. Caspersen
RIVERSOURCE DISTRIBUTORS
Minneapolis, MN 55402
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CRD#: 4210896
KC
Professional summary
Kellogg Mark Caspersen is a registered financial professional currently at RIVERSOURCE DISTRIBUTORS, INC. located in Minneapolis, Minnesota.
Kellogg is registered as a RR (Registered Representative) and started their career in finance in 2000. Kellogg has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Kellogg Mark Caspersen'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®
NoneExperience
Current
March 31, 2008 - Present
RIVERSOURCE DISTRIBUTORS, INC.
Office #1: 901 3rd Ave S, Minneapolis, MN 55402BD
CRD#: 139135
Minneapolis, MN
Past
September 25, 2000 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
September 25, 2000 - March 31, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/22/2024)
RR
Arizona(2/22/2024)
RR
Arkansas(8/14/2025)
RR
California(2/22/2024)
RR
Connecticut(8/14/2025)
RR
Delaware(2/22/2024)
RR
District of Columbia(2/22/2024)
RR
Florida(2/22/2024)
RR
Georgia(2/22/2024)
RR
Illinois(8/14/2025)
RR
Indiana(8/14/2025)
RR
Kentucky(8/14/2025)
RR
Louisiana(2/22/2024)
RR
Maine(8/14/2025)
RR
Maryland(2/22/2024)
RR
Massachusetts(8/14/2025)
RR
Michigan(8/14/2025)
RR
Minnesota(3/31/2008)
RR
Mississippi(8/14/2025)
RR
Missouri(8/14/2025)
RR
New Hampshire(8/14/2025)
RR
New Jersey(2/22/2024)
RR
New York(2/22/2024)
RR
North Carolina(2/22/2024)
RR
Ohio(8/15/2025)
RR
Pennsylvania(2/22/2024)
RR
Rhode Island(8/14/2025)
RR
South Carolina(2/22/2024)
RR
Tennessee(8/14/2025)
RR
Texas(2/22/2024)
RR
Virginia(2/22/2024)
RR
West Virginia(8/14/2025)
RR
Wisconsin(8/14/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
