Marcia J. Kneeshaw
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.
Marcia J Kneeshaw, who also goes by Marcia Jean Kneeshaw, Marcia Jean Stoneback, was a registered financial professional .
Marcia is a previously registered financial professional and started their career in finance in 2005. Marcia had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2010 - May 9, 2019
RIVERSOURCE DISTRIBUTORS, INC.
February 4, 2010 - October 8, 2010
U.S. BANCORP INVESTMENTS, INC.
February 3, 2010 - October 8, 2010
U.S. BANCORP INVESTMENTS, INC.
March 25, 2009 - January 4, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
January 9, 2008 - March 23, 2009
INVESTMENT CENTERS OF AMERICA, INC.
December 1, 2006 - March 23, 2009
INVESTMENT CENTERS OF AMERICA, INC.
July 6, 2005 - October 2, 2006
INVEST FINANCIAL CORPORATION
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.
