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Karl Thomas Dornfeld

Riversource Distributors, Inc.

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About Karl Thomas Dornfeld

Karl Dornfeld is a financial professional with over 30 years of experience in the industry. Karl is currently registered with Riversource Distributors, Inc. in Minnesota. Karl has held previous registrations with Ameriprise Financial Services, Inc., American Enterprise Investment Services Inc., Wells Fargo Investments, LLC, and Wells Fargo Securities Inc. Karl holds the Series 7, 9, 10, 24, 27, 63, 99TO and SIE licenses.

Firm Information

Karl Dornfeld 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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Karl Dornfeld’s Registration & Firm History

MN

01/04/2016 - Present

Riversource Distributors, Inc. (Minneapolis MN)

MN

10/10/2011 - 06/22/2017

AMERIPRISE FINANCIAL SERVICES, INC. (Minneapolis MN)

MN

11/22/2011 - 02/12/2016

AMERICAN ENTERPRISE INVESTMENT SERVICES INC. (MINNEAPOLIS MN)

MN

07/25/2008 - 11/02/2010

AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)

MN

03/29/2007 - 11/02/2010

AMERICAN ENTERPRISE INVESTMENT SERVICES INC. (MINNEAPOLIS MN)

MN

06/26/2001 - 01/19/2007

WELLS FARGO INVESTMENTS, LLC (MINNEAPOLIS MN)

CA

06/29/2001 - 11/02/2001

WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)

MN

10/22/1986 - 06/04/2001

MJK CLEARING, INC. (MINNEAPOLIS MN)

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Licenses & Designations

BC

Issued 12/29/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/11/2002

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/28/2002

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 12/12/1995

Series 27 - Financial and Operations Principal Examination

BC

Issued 09/12/1994

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/18/1986

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Karl Thomas Dornfeld.
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