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MM

Michael J. Monti

RIVERSOURCE DISTRIBUTORS
Minneapolis, MN 55402
Some features on this profile are disabled
CRD#: 7643013
MM

Professional summary

Michael Joseph Monti is a registered financial professional currently at RIVERSOURCE DISTRIBUTORS, INC. located in Minneapolis, Minnesota.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2023. Michael has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.

top-8-questions

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 Michael Joseph Monti'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

August 30, 2023 - Present

RIVERSOURCE DISTRIBUTORS, INC.

Office #1: 901 3rd Ave S, Minneapolis, MN 55402
BD
CRD#: 139135
Minneapolis, MN
Past

March 23, 2023 - August 28, 2023

THRIVENT INVESTMENT MANAGEMENT INC.

BD
CRD#: 18387
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
Alaska
(6/15/2024)
RR
Arizona
(6/15/2024)
RR
California
(6/15/2024)
RR
Florida
(6/15/2024)
RR
Idaho
(6/15/2024)
RR
Minnesota
(9/21/2023)
RR
Montana
(6/15/2024)
RR
Nevada
(6/15/2024)
RR
New York
(6/15/2024)
RR
Oregon
(6/15/2024)
RR
Texas
(6/15/2024)
RR
Utah
(6/15/2024)
RR
Washington
(6/15/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 9/8/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/23/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/17/2023
Securities Industry Essentials 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 55402

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