Michael S. Mattox
Professional summary
Michael Scott Mattox is a registered financial professional currently at AMERIPRISE FINANCIAL SERVICES, LLC located in Minneapolis, Minnesota and RIVERSOURCE DISTRIBUTORS, INC. located in Minneapolis, Minnesota.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2012. Michael has worked at 4 firms and has passed the SIE, Series 99 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Scott Mattox's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 25, 2012 - Present
AMERIPRISE FINANCIAL SERVICES, LLC
Office #1: 901 3rd Ave S, Minneapolis, MN 55402-3367February 19, 2020 - Present
RIVERSOURCE DISTRIBUTORS, INC.
Office #1: 901 3rd Ave S, Minneapolis, MN 55402February 19, 2020 - Present
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
Office #1: 901 3rd Ave S, Minneapolis, MN 55402February 19, 2020 - Present
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
Office #1: 901 3rd Ave S, Minneapolis, MN 55402State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
FINRA
Current Firm
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
CRD#: 840 / SEC#: , 8-25845
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J. & W. SELIGMAN & CO. INCORPORATED | SOLE STOCKHOLDER | |
| BUFF, STEPHEN ODONNELL | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2143366 |
| BUMPUS, JAMES FREDERICK | DIRECTOR, VICE PRESIDENT, AND HEAD OF INTERMEDIARY MARKETS | 1928724 |
| DEFAO, MICHAEL E | VICE PRESIDENT, CHIEF LEGAL OFFICER AND ASSISTANT SECRETARY | 2687755 |
| MATTOX, MICHAEL SCOTT | CHIEF FINANCIAL OFFICER | 4383501 |
| TRUSCOTT, WILLIAM FREDERICK | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2416857 |
| ZEITOUN, MARC CLAUDE | DIRECTOR, VICE PRESIDENT AND HEAD OF NORTH AMERICA PRODUCT | 2639942 |
Disclosures
| Civil Event | 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.
