Laura M. Lucas

RIVERSOURCE DISTRIBUTORS

Minneapolis, MN 55402

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CRD#: 5993208

Professional summary

Laura Mae Lucas is a registered financial professional currently at RIVERSOURCE DISTRIBUTORS, INC. located in Minneapolis, Minnesota.

Laura is registered as a RR (Registered Representative) and started their career in finance in 2011. Laura has worked at 6 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Laura Mae Lucas'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®

None

Experience

Current

February 5, 2024 - Present

RIVERSOURCE DISTRIBUTORS, INC.

Office #1: 901 3rd Ave S, Minneapolis, MN 55402

CRD#: 139135

Minneapolis, MN

Past

August 17, 2023 - December 21, 2023

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

Plano, TX

Past

July 14, 2023 - December 21, 2023

VANGUARD MARKETING CORPORATION

CRD#: 7452

Plano, TX

Past

October 6, 2020 - November 4, 2020

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

April 26, 2019 - August 16, 2019

CETERA ADVISORS LLC

RIA

CRD#: 10299

MIAMI, FL

Past

April 25, 2019 - August 16, 2019

CETERA ADVISORS LLC

CRD#: 10299

MIAMI, FL

Past

January 23, 2019 - April 2, 2019

EDWARD JONES

RIA

CRD#: 250

Miami, FL

Past

January 1, 2019 - April 2, 2019

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

December 14, 2011 - December 23, 2011

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Arizona
(11/8/2024)

California
(11/8/2024)

Colorado
(5/14/2025)

Florida
(11/8/2024)

Georgia
(2/5/2024)

New York
(11/8/2024)

Ohio
(11/8/2024)

Pennsylvania
(11/8/2024)

Texas
(11/8/2024)

Vermont
(11/8/2024)

West Virginia
(11/8/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 8/16/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/13/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/13/2011

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

RIVERSOURCE DISTRIBUTORS, INC.

CRD#: 139135 / SEC#: , 8-67196

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.

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Advisor Monitoring

Firm Stability Insights

Laura M. Lucas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Laura Mae Lucas's CRS (Customer Relationship Summary).

Certified licenses

Experience

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

TRANSAMERICA CAPITAL, LLC

CETERA ADVISORS LLC

CETERA ADVISORS LLC

EDWARD JONES

EDWARD JONES

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 66

Date: 8/16/2023

Series 7TO

Date: 7/13/2023

SIE

Date: 12/1/2018

Series 7

Date: 12/13/2011

FINRA

Current Firm

RIVERSOURCE DISTRIBUTORS, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

RIVERSOURCE DISTRIBUTORS, INC.

TRUST BUT VERIFY

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