Sayed M. Hussain
Professional summary
Sayed Mazharul Hussain, who also goes by Sayed M. Hussain, is a registered financial professional currently at RIVERSOURCE DISTRIBUTORS, INC. located in Minneapolis, Minnesota.
Sayed is registered as a RR (Registered Representative) and started their career in finance in 2005. Sayed has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sayed Mazharul Hussain's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 10, 2016 - Present
RIVERSOURCE DISTRIBUTORS, INC.
Office #1: 901 3rd Ave S, Minneapolis, MN 55402April 17, 2015 - January 9, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
April 17, 2015 - January 9, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
July 2, 2012 - December 31, 2013
FIRST ALLIED ADVISORY SERVICES, INC.
February 18, 2011 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
May 17, 2010 - December 31, 2013
FIRST ALLIED SECURITIES, INC.
September 7, 2006 - April 6, 2010
CETERA FINANCIAL SPECIALISTS LLC
September 1, 2005 - September 8, 2006
CAPITAL BROKERAGE 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
(1/9/2018)
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.
