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Richard Baune

Riversource Distributors, Inc.

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About Richard Baune

Richard Baune is a financial advisor with over 10 years of experience in the industry. Richard is currently registered with Riversource Distributors, Inc. and is licensed in several states including Florida, New York, and Texas. Richard has a strong background in the securities industry, having previously worked with firms such as State Farm VP Management Corp. and Valic Financial Advisors, Inc. Richard is committed to providing clients with personalized financial advice and guidance.

Firm Information

Richard Baune 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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Richard Baune’s Registration & Firm History

MN

10/05/2021 - Present

Riversource Distributors, Inc. (Minneapolis MN)

MN

05/12/2015 - 11/23/2020

RIVERSOURCE DISTRIBUTORS, INC. (MINNEAPOLIS MN)

IL

03/21/2014 - 04/23/2015

STATE FARM VP MANAGEMENT CORP. (BLOOMINGTON IL)

MN

09/04/2012 - 01/31/2013

VALIC FINANCIAL ADVISORS, INC. (EDINA MN)

MN

06/08/2010 - 08/28/2012

AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)

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Licenses & Designations

BC

Issued 06/11/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/07/2010

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Richard Baune.
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