TN
Timothy P. Neary
RIVERSOURCE DISTRIBUTORS
Minneapolis, MN 55402
Some features on this profile are disabled
CRD#: 6862814
TN
Professional summary
Timothy Paul Neary, who also goes by Paul Neary, is a registered financial professional currently at RIVERSOURCE DISTRIBUTORS, INC. located in Minneapolis, Minnesota.
Timothy is registered as a RR (Registered Representative) and started their career in finance in 2017. Timothy has worked at 1 firm and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Paul Neary
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 Timothy Paul Neary'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
October 30, 2017 - Present
RIVERSOURCE DISTRIBUTORS, INC.
Office #1: 901 3rd Ave S, Minneapolis, MN 55402BD
CRD#: 139135
Minneapolis, 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(3/12/2019)
RR
Alaska(3/13/2019)
RR
Arizona(3/12/2019)
RR
Arkansas(3/12/2019)
RR
California(3/12/2019)
RR
Colorado(3/13/2019)
RR
Connecticut(3/13/2019)
RR
Delaware(3/19/2019)
RR
District of Columbia(3/13/2019)
RR
Florida(4/3/2019)
RR
Georgia(4/1/2019)
RR
Hawaii(3/13/2019)
RR
Idaho(3/12/2019)
RR
Illinois(5/7/2019)
RR
Indiana(3/12/2019)
RR
Iowa(3/28/2019)
RR
Kansas(3/14/2019)
RR
Kentucky(3/19/2019)
RR
Louisiana(3/12/2019)
RR
Maine(3/13/2019)
RR
Maryland(3/14/2019)
RR
Massachusetts(3/13/2019)
RR
Michigan(3/14/2019)
RR
Minnesota(11/20/2017)
RR
Mississippi(3/14/2019)
RR
Missouri(3/14/2019)
RR
Montana(3/12/2019)
RR
Nebraska(3/13/2019)
RR
Nevada(3/20/2019)
RR
New Hampshire(3/15/2019)
RR
New Jersey(3/12/2019)
RR
New Mexico(3/12/2019)
RR
New York(3/12/2019)
RR
North Carolina(3/13/2019)
RR
North Dakota(3/13/2019)
RR
Ohio(3/12/2019)
RR
Oklahoma(3/13/2019)
RR
Oregon(3/19/2019)
RR
Pennsylvania(3/15/2019)
RR
Rhode Island(3/21/2019)
RR
South Carolina(3/13/2019)
RR
South Dakota(3/12/2019)
RR
Tennessee(3/13/2019)
RR
Texas(3/12/2019)
RR
Utah(3/12/2019)
RR
Vermont(3/12/2019)
RR
Virginia(3/12/2019)
RR
Washington(3/12/2019)
RR
West Virginia(3/20/2019)
RR
Wisconsin(3/13/2019)
RR
Wyoming(3/26/2019)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
