Duwayne R. Kollodge
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.
Duwayne Raymond Kollodge was a registered financial professional .
Duwayne is a previously registered financial professional and started their career in finance in 1977. Duwayne had worked at 12 firms and has passed the Series 63, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2002 - July 3, 2006
IDS LIFE INSURANCE COMPANY
August 23, 2002 - March 31, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
April 9, 1999 - October 23, 2001
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
April 4, 1995 - September 1, 1998
WILSON-DAVIS & CO., INC.
November 29, 1994 - January 13, 1995
GLOBAL FINANCIAL GROUP, INC.
September 18, 1989 - November 8, 1994
HAYNE, MILLER FINANCIAL, INC.
January 2, 1987 - September 18, 1989
HAYNE, MILLER & SWEARINGEN, INC.
December 11, 1984 - December 24, 1986
FIRST PREFERRED INVESTMENT CORPORATION
May 6, 1983 - November 19, 1984
MARQUETTE FINANCIAL GROUP, INC.
May 24, 1982 - February 18, 1983
CITIGROUP GLOBAL MARKETS INC.
February 24, 1978 - September 1, 1978
MORGAN STANLEY DW INC.
December 22, 1977 - February 24, 1978
REYNOLDS SECURITIES, 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
IDS LIFE INSURANCE COMPANY
CRD#: 6321 / SEC#: , 8-14124
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERIPRISE FINANCIAL, INC. | SHAREHOLDER | |
| ALVERO, GUMER CRUZ | DIRECTOR, EVP - ANNUITIES | 1975307 |
| BECHTOLD, TIMOTHY VERNON | DIRECTOR, PRESIDENT | 1621000 |
| BERMAN, ARTHUR HOWARD | DIRECTOR, EVP - FINANCE | 4591628 |
| RUETHER, JULIE ANN | CHIEF COMPLIANCE OFFICER | 1090661 |
| SCHWARZMANN, MARK EDWARD | DIRECTOR, CEO, COB | 4742555 |
| STEWART, DAVID KENT | VICE PRESIDENT AND CONTROLLER | 2990869 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
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