Eric A. Swanson
Professional summary
Eric Arthur Swanson, who also goes by Eric A Swanson, Eric Swanson, is a registered financial professional currently at RIVERSOURCE DISTRIBUTORS, INC. located in Minneapolis, Minnesota.
Eric is registered as a RR (Registered Representative) and started their career in finance in 2001. Eric has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Eric Arthur Swanson's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 26, 2023 - Present
RIVERSOURCE DISTRIBUTORS, INC.
Office #1: 707 Second Avenue South, Minneapolis, MN 55474July 9, 2018 - January 5, 2023
U.S. BANCORP INVESTMENTS, INC.
July 9, 2018 - January 5, 2023
U.S. BANCORP INVESTMENTS, INC.
December 13, 2013 - July 11, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
September 2, 2011 - July 11, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
January 1, 2007 - September 7, 2011
RIVERSOURCE DISTRIBUTORS, INC.
March 7, 2005 - December 31, 2006
IDS LIFE INSURANCE COMPANY
March 7, 2005 - January 1, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
September 26, 2001 - January 25, 2005
MORGAN STANLEY DW 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
(1/31/2024)
(1/31/2024)
(1/31/2024)
(5/21/2025)
(1/31/2024)
(5/21/2025)
(5/21/2025)
(6/26/2023)
(1/31/2024)
(8/6/2025)
(1/31/2024)
(1/31/2024)
(5/21/2025)
(8/6/2025)
(1/31/2024)
(1/31/2024)
(8/6/2025)
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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