CRD #139135 · FINRA BrokerCheck + SEC IAPD

Riversource Distributors, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Riversource Distributors, Inc. ranks #2,363 of 20,055 by disclosure count (most disclosures first). Among firms registered in MN, it ranks #17 of 42 on the same disclosure sort used on the state browse page. Riversource Distributors, Inc. carries 3 BrokerCheck disclosures across 11 branch offices - moderate load for a regional firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
11
branch offices
3
disclosures
#2,363 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 139135 Riversource Distributors, Inc.

Riversource Distributors, Inc. · Grade C · 3 disc · 0.27/office · Regional firm

  • CRD 139135
  • GRADE C
  • DISC 3
  • REG 2
  • ARB 1
  • CIV 0
  • BRANCH 11
  • PER-OFF 0.27
  • RANK #2,363 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: AON Securities LLC (0.27 disc/office)

AON Securities LLC0.27Landolt Securities, Inc.0.28Macquarie Capital (USA)…0.28Riversource Distrib… (this)0.27
Disclosures per office among regional firm peers (lower is cleaner)

Riversource Distributors, Inc. ranks #2,363 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.27 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

11 offices

FINRA: Medium firm

Total disclosures

3 events

On FINRA BrokerCheck

Regulatory events

2 actions

67% of all disclosures

Disclosures per office

0.27 per office

3 ÷ 11 offices

Riversource Distributors, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 73% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). This entry sits in this band. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 2
Arbitrations 1
Civil Events 0
Total 3

Counts for Riversource Distributors, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 2 Arbitration 1 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
Minneapolis, MN
CRD Number
139135

Lower disclosures per office

Riversource Distributors, Inc. in the heavier-disclosure third

Riversource Distributors, Inc. carries 3 BrokerCheck disclosures across 11 branch offices - a heavier-third raw book among graded firms (#2,363 of 20,055). Regulator-initiated events are 67% of the book (2 regulatory / 1 arbitration / 0 civil).

Riversource Distributors, Inc. runs 0.27 disclosures per branch office (cleaner than 73% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Riversource Distributors, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Minnesota cohort · 0.23× state average

Riversource Distributors, Inc. sits below the Minnesota disclosure average

Riversource Distributors, Inc. reports 3 BrokerCheck disclosures, 0.23× the Minnesota average of 13.1, lighter than most of the 42 graded firms filed there.

In Minnesota, 18 firms carry Grade A and 1 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Minnesota state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Riversource Distributors, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Riversource Distributors, Inc. ranks #2,363 of 20,055 by disclosure count (most disclosures first). Among firms registered in MN, it ranks #17 of 42 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for Riversource Distributors, Inc.?
A grade of C reflects Riversource Distributors, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 3 total disclosures across 11 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Riversource Distributors, Inc. have?
Riversource Distributors, Inc. has 3 total FINRA disclosures, including 2 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Riversource Distributors, Inc.?
Riversource Distributors, Inc. operates 11 branch offices and is classified by FINRA as a medium firm, registered in MN (Regional firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Riversource Distributors, Inc.'s disciplinary record?
You can verify Riversource Distributors, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 139135. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Riversource Distributors, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Riversource Distributors, Inc. carries 3 disclosures across 11 branch offices (about 0.27 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Riversource Distributors, Inc., both outside MN so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • AON Securities LLC (IL) - 0.27 disclosures/office, nearest regional firm peer to Riversource Distributors, Inc.'s 0.27
  • Landolt Securities, Inc. (IL) - 0.28 disclosures/office, nearest regional firm peer to Riversource Distributors, Inc.'s 0.27
  • Macquarie Capital (USA) Inc. (NY) - 0.28 disclosures/office, nearest regional firm peer to Riversource Distributors, Inc.'s 0.27
  • Firms in MN - state roster that includes Riversource Distributors, Inc.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade C firm like Riversource Distributors, Inc..
  • Reading BrokerCheck Reports - How Riversource Distributors, Inc.'s 0.27 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Riversource Distributors, Inc..
  • Compare firms - put Riversource Distributors, Inc. next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.