William D. Pritchard
Professional summary
William David Pritchard, who also goes by Bill Pritchard, is a registered financial professional currently at RIVERSOURCE DISTRIBUTORS, INC. located in Minneapolis, Minnesota.
William is registered as a RR (Registered Representative) and started their career in finance in 2012. William has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William David Pritchard's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 28, 2021 - Present
RIVERSOURCE DISTRIBUTORS, INC.
Office #1: 901 3rd Ave S, Minneapolis, MN 55402October 15, 2020 - June 2, 2021
TRANSAMERICA CAPITAL, LLC
December 20, 2018 - August 31, 2020
ALLSTATE FINANCIAL ADVISORS, LLC
December 20, 2018 - August 31, 2020
ALLSTATE FINANCIAL SERVICES, LLC
August 24, 2018 - December 20, 2018
EQUITABLE ADVISORS, LLC
August 24, 2018 - December 20, 2018
EQUITABLE ADVISORS, LLC
October 28, 2013 - January 31, 2018
PRUCO SECURITIES, LLC.
January 1, 2012 - January 31, 2018
PRUCO SECURITIES, 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
(6/28/2021)
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
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