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GJ

Gerald A. Javier

RIVERSOURCE DISTRIBUTORS
MINNEAPOLIS, MN 55474
Some features on this profile are disabled
CRD#: 6333124
GJ

Professional summary

Gerald Agbulos Javier is a registered financial professional currently at RIVERSOURCE DISTRIBUTORS, INC. located in Minneapolis, Minnesota.

Gerald is registered as a RR (Registered Representative) and started their career in finance in 2014. Gerald has worked at 3 firms and has passed the Series 63, SIE and Series 7 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gerald Agbulos Javier'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

September 5, 2018 - Present

RIVERSOURCE DISTRIBUTORS, INC.

Office #1: 707 Second Avenue South, Minneapolis, MN 55474
BD
CRD#: 139135
MINNEAPOLIS, MN
Past

September 21, 2015 - November 29, 2016

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

August 4, 2014 - June 23, 2015

E*TRADE SECURITIES LLC

BD
CRD#: 29106
MAKATI CITY, MANILA METRO,

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
Minnesota
(9/5/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 8/11/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/4/2014
General Securities Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
AMERIPRISE FINANCIAL, INCSHAREHOLDER
ALVERO, GUMER CRUZCHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER1975307
KNEESHAW, JESSICA ADIRECTOR4619188
LASSWELL, MARK THOMASCHIEF COMPLIANCE OFFICER2092593
MATTOX, MICHAEL SCOTTCHIEF FINANCIAL OFFICER4383501
MINELLA, PAULA JGENERAL COUNSEL7355568
SHERMAN, KARA DALYDIRECTOR (TEXAS DESIGNATED OFFICER)4567825

Disclosures

Regulatory Event2
Arbitration1

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.

Company Information

RIVERSOURCE DISTRIBUTORS, INC.

CRD#: 139135Minneapolis, MN 55474

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