Alex M. Maier
Professional summary
Alex Michael Maier, who also goes by Alex M Maier, Alex Maier, is a registered financial professional currently at AMERIPRISE FINANCIAL SERVICES, LLC located in Minneapolis, Minnesota and RIVERSOURCE DISTRIBUTORS, INC. located in Minneapolis, Minnesota.
Alex is registered as a RR (Registered Representative) and started their career in finance in 2008. Alex has worked at 5 firms and has passed the Series 99TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alex Michael Maier's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 5, 2014 - Present
AMERIPRISE FINANCIAL SERVICES, LLC
Office #1: 901 3rd Ave S, Minneapolis, MN 55402-3367January 6, 2026 - Present
RIVERSOURCE DISTRIBUTORS, INC.
Office #1: 901 3rd Ave S, Minneapolis, MN 55402January 6, 2026 - Present
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
Office #1: 901 3rd Avenue South, Minneapolis, MN 55402January 6, 2026 - Present
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
Office #1: 901 3rd Ave S, Minneapolis, MN 55402March 30, 2017 - December 31, 2023
RIVERSOURCE DISTRIBUTORS, INC.
March 30, 2017 - December 31, 2023
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
March 30, 2017 - December 31, 2023
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
April 18, 2012 - July 31, 2012
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
November 10, 2008 - March 17, 2010
HARTFORD FUNDS DISTRIBUTORS, 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
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
CRD#: 840 / SEC#: , 8-25845
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J. & W. SELIGMAN & CO. INCORPORATED | SOLE STOCKHOLDER | |
| BUFF, STEPHEN ODONNELL | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2143366 |
| BUMPUS, JAMES FREDERICK | DIRECTOR, VICE PRESIDENT, AND HEAD OF INTERMEDIARY MARKETS | 1928724 |
| DEFAO, MICHAEL E | VICE PRESIDENT, CHIEF LEGAL OFFICER AND ASSISTANT SECRETARY | 2687755 |
| MATTOX, MICHAEL SCOTT | CHIEF FINANCIAL OFFICER | 4383501 |
| TRUSCOTT, WILLIAM FREDERICK | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2416857 |
| ZEITOUN, MARC CLAUDE | DIRECTOR, VICE PRESIDENT AND HEAD OF NORTH AMERICA PRODUCT | 2639942 |
Disclosures
| Civil Event | 1 |
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