Lisa A. Borchard
Professional summary
Lisa Ann Borchard, who also goes by Lisa Ann Buffa, is a registered financial professional currently at RIVERSOURCE DISTRIBUTORS, INC. located in Minneapolis, Minnesota.
Lisa is registered as a RR (Registered Representative) and started their career in finance in 2005. Lisa has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lisa Ann Borchard's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 12, 2019 - Present
RIVERSOURCE DISTRIBUTORS, INC.
Office #1: 901 3rd Ave S, Minneapolis, MN 55402January 3, 2017 - September 12, 2019
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
September 11, 2015 - December 31, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
September 11, 2015 - January 18, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
February 3, 2014 - July 20, 2015
UBS FINANCIAL SERVICES INC.
March 20, 2013 - July 20, 2015
UBS FINANCIAL SERVICES INC.
August 29, 2005 - January 4, 2013
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
(3/6/2024)
(3/6/2024)
(8/14/2025)
(3/6/2024)
(8/14/2025)
(3/6/2024)
(3/6/2024)
(3/6/2024)
(3/6/2024)
(8/14/2025)
(8/14/2025)
(8/14/2025)
(3/6/2024)
(8/14/2025)
(3/6/2024)
(8/14/2025)
(8/14/2025)
(9/12/2019)
(8/14/2025)
(8/14/2025)
(8/14/2025)
(3/6/2024)
(3/6/2024)
(3/6/2024)
(8/15/2025)
(3/6/2024)
(8/14/2025)
(3/6/2024)
(3/6/2024)
(3/6/2024)
(8/14/2025)
(8/14/2025)
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
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.
