JS
Justin D. Schmitz
RIVERSOURCE DISTRIBUTORS
Minneapolis, MN 55402
Some features on this profile are disabled
CRD#: 5420040
JS
Professional summary
Justin Dennis Schmitz is a registered financial professional currently at RIVERSOURCE DISTRIBUTORS, INC. located in Minneapolis, Minnesota.
Justin is registered as a RR (Registered Representative) and started their career in finance in 2008. Justin has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Justin Dennis Schmitz'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®
NoneExperience
Current
January 4, 2016 - Present
RIVERSOURCE DISTRIBUTORS, INC.
Office #1: 901 3rd Ave S, Minneapolis, MN 55402BD
CRD#: 139135
Minneapolis, MN
Past
July 7, 2011 - January 19, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Minneapolis, MN
Past
June 28, 2011 - January 3, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Minneapolis, MN
Past
April 5, 2010 - March 11, 2011
COUNTRY CAPITAL MANAGEMENT COMPANY
BD
CRD#: 12060
PLYMOUTH, MN
Past
July 25, 2008 - April 1, 2010
NEW ENGLAND SECURITIES
BD
CRD#: 615
MINNETONKA, MN
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(1/4/2016)
RR
Alaska(1/4/2016)
RR
Arizona(1/4/2016)
RR
Arkansas(1/4/2016)
RR
California(1/4/2016)
RR
Colorado(1/4/2016)
RR
Connecticut(1/4/2016)
RR
Delaware(1/4/2016)
RR
District of Columbia(1/4/2016)
RR
Florida(4/10/2018)
RR
Georgia(4/10/2018)
RR
Hawaii(1/4/2016)
RR
Idaho(1/4/2016)
RR
Illinois(1/4/2016)
RR
Indiana(1/4/2016)
RR
Iowa(1/4/2016)
RR
Kansas(1/4/2016)
RR
Kentucky(1/4/2016)
RR
Louisiana(1/4/2016)
RR
Maine(4/10/2018)
RR
Maryland(1/4/2016)
RR
Massachusetts(1/4/2016)
RR
Michigan(1/4/2016)
RR
Minnesota(1/4/2016)
RR
Mississippi(1/4/2016)
RR
Missouri(4/10/2018)
RR
Montana(1/4/2016)
RR
Nebraska(1/4/2016)
RR
Nevada(4/10/2018)
RR
New Hampshire(1/4/2016)
RR
New Jersey(1/4/2016)
RR
New Mexico(1/4/2016)
RR
New York(1/4/2016)
RR
North Carolina(1/5/2016)
RR
North Dakota(1/4/2016)
RR
Ohio(1/4/2016)
RR
Oklahoma(4/10/2018)
RR
Oregon(1/4/2016)
RR
Pennsylvania(1/4/2016)
RR
Rhode Island(1/4/2016)
RR
South Carolina(1/4/2016)
RR
South Dakota(1/4/2016)
RR
Tennessee(1/4/2016)
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Texas(4/10/2018)
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Utah(1/4/2016)
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Vermont(6/12/2017)
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Virginia(1/4/2016)
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Washington(1/4/2016)
RR
West Virginia(1/4/2016)
RR
Wisconsin(1/4/2016)
RR
Wyoming(1/4/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RD
RIVERSOURCE DISTRIBUTORS, INC.
RIVERSOURCE DISTRIBUTORS, INC.
CRD#: 139135 / SEC#: , 8-67196
BD
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.
