Joel N. Gronau

RIVERSOURCE DISTRIBUTORS

Minneapolis, MN 55402

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CRD#: 4960804

Professional summary

Joel Neil Gronau is a registered financial professional currently at RIVERSOURCE DISTRIBUTORS, INC. located in Minneapolis, Minnesota.

Joel is registered as a RR (Registered Representative) and started their career in finance in 2005. Joel has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joel Neil Gronau's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 30, 2019 - Present

RIVERSOURCE DISTRIBUTORS, INC.

Office #1: 901 3rd Ave S, Minneapolis, MN 55402

CRD#: 139135

Minneapolis, MN

Past

May 9, 2017 - October 21, 2019

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

May 25, 2016 - March 31, 2017

SLD AMERICA EQUITIES, INC.

CRD#: 36259

MINNEAPOLIS, MN

Past

June 21, 2005 - May 9, 2016

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST PAUL, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alaska
(2/8/2024)

Arizona
(2/8/2024)

California
(2/8/2024)

Florida
(2/8/2024)

Idaho
(2/8/2024)

Minnesota
(10/30/2019)

Montana
(2/8/2024)

Nevada
(2/8/2024)

New York
(2/8/2024)

Oregon
(2/8/2024)

Texas
(2/8/2024)

Utah
(2/8/2024)

Washington
(2/8/2024)

Exams

State Security Law Exam

Series 63

Date: 2/17/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/20/2005

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

RIVERSOURCE DISTRIBUTORS, INC.

CRD#: 139135 / SEC#: , 8-67196

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

707 Second Avenue South, Minneapolis, MN 55474

Mailing Address

5229 Ameriprise Financial Center, Minneapolis, MN 55474

Phone number

(612) 671-7449

Established

Delaware since 12/09/2005

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

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.

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Joel N. Gronau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joel Neil Gronau's CRS (Customer Relationship Summary).

Certified licenses

Experience

RIVERSOURCE DISTRIBUTORS, INC.

THE LEADERS GROUP, INC.

SLD AMERICA EQUITIES, INC.

SECURIAN FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/17/2006

SIE

Date: 10/1/2018

Series 6

Date: 6/20/2005

FINRA

Current Firm

RIVERSOURCE DISTRIBUTORS, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

RIVERSOURCE DISTRIBUTORS, INC.

TRUST BUT VERIFY

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