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Julie Kay Guggemos

Riversource Distributors, Inc.

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About Julie Kay Guggemos

Julie Guggemos is a financial professional with over 20 years of experience in the industry. She is currently registered with Riversource Distributors, Inc. in Minneapolis, MN. Previously, she worked with Ameriprise Financial Services, LLC in Winsted, MN and IDS Life Insurance Company in Minneapolis, MN. Julie is a Series 7 and Series 66 licensed representative. She also holds the SIE exam.

Firm Information

Julie Guggemos 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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Julie Guggemos’s Registration & Firm History

MN

01/31/2024 - Present

Riversource Distributors, Inc. (Minneapolis MN)

MN

01/01/2004 - 01/31/2024

AMERIPRISE FINANCIAL SERVICES, LLC (WINSTED MN)

MN

01/01/2004 - 07/03/2006

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

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Licenses & Designations

BOTH

Issued 01/15/2004

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/23/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Julie Kay Guggemos. Review regulatory record here.
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