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Dean Wallace Gault

Riversource Distributors, Inc.

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About Dean Wallace Gault

Dean Wallace Gault is a financial advisor with Riversource Distributors, Inc.. Dean has been in the industry since 2018 and is licensed to sell Investment Company Products/Variable Contracts. Dean has passed both the Securities Industry Essentials Examination (SIE) and the Series 6 exam. The branch office for Dean Wallace Gault is located in Minneapolis, MN.

Firm Information

Dean Gault is currently registered with Riversource Distributors, Inc.. Riversource Distributors, Inc. is a corporation formed on December 9, 2005, and is registered to operate in all 50 states, as well as Puerto Rico and the District of Columbia. The firm has been approved by the SEC and has been subject to two regulatory events and one arbitration claim.

Not reported

Assets Under Management

Not reported

Total Clients

144

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Dean Gault’s Registration & Firm History

MN

06/04/2018 - Present

Riversource Distributors, Inc. (Minneapolis MN)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/04/2018

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Dean Wallace Gault.
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