Jon W. Nieranowski
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jon William Nieranowski, CFP®, who also goes by Jon William Nieranowski Mr, Jon William Nieranowski, was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 2003. Jon had worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2009
Experience
April 1, 2015 - August 11, 2025
RIVERSOURCE DISTRIBUTORS, INC.
October 5, 2012 - April 1, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2012 - April 1, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
July 20, 2010 - May 25, 2012
STRATEGIC ADVISERS LLC
July 16, 2010 - May 25, 2012
FIDELITY BROKERAGE SERVICES LLC
May 13, 2009 - June 9, 2010
WADDELL & REED
May 12, 2009 - June 9, 2010
WADDELL & REED
September 21, 2005 - May 20, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
May 28, 2003 - July 3, 2006
IDS LIFE INSURANCE COMPANY
May 28, 2003 - May 20, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
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
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.
