James A. Brefeld
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.
James Anthony Brefeld Jr, who also goes by James A Brefeld Jr, James A Brefeld, James A (mi Only) Brefeld, James Anthony Brefeld, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2004. James had worked at 6 firms and has passed the Series 63, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2017 - February 26, 2020
RIVERSOURCE DISTRIBUTORS, INC.
November 17, 2017 - February 26, 2020
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
November 17, 2017 - February 26, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
November 17, 2017 - February 26, 2020
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
July 1, 2004 - March 9, 2005
J.P. MORGAN SECURITIES INC.
June 21, 2004 - July 1, 2004
BANC ONE CAPITAL MARKETS, 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
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.
