Gary W. Keller
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gary William Keller, who also goes by Gary W Keller, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1981. Gary had worked at 14 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 6, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2014 - July 31, 2015
RIVERSOURCE DISTRIBUTORS, INC.
April 30, 2009 - January 7, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
February 10, 2009 - January 7, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
July 11, 2006 - January 16, 2008
WADDELL & REED
June 27, 2002 - June 27, 2002
U.S. BANCORP INVESTMENTS, INC.
May 14, 2001 - January 16, 2004
U.S. BANCORP INVESTMENTS, INC.
September 18, 2000 - December 1, 2001
FIRSTAR INVESTMENT SERVICES,INC.
February 10, 1999 - September 8, 2000
METLIFE INVESTORS SALES COMPANY
March 8, 1996 - October 16, 1998
VOYA FINANCIAL PARTNERS, LLC
June 24, 1993 - February 8, 1995
IFMG SECURITIES, INC.
January 8, 1991 - May 28, 1993
WOODBURY FINANCIAL SERVICES, INC.
August 18, 1988 - January 17, 1989
CNL, INC.
December 10, 1985 - April 9, 1988
ROYAL HUTTON SECURITIES CORP.
February 9, 1984 - August 7, 1985
MORGAN STANLEY DW INC.
March 1, 1983 - February 3, 1984
E. F. HUTTON & COMPANY INC
February 2, 1981 - October 28, 1985
METLIFE INVESTORS DISTRIBUTION COMPANY
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
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
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.
