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Stephen Ray Wolfrath

Riversource Distributors, Inc.

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About Stephen Ray Wolfrath

Stephen Wolfrath is a financial advisor based in Minneapolis, Minnesota. Stephen has been working in the financial services industry since 1995. He is currently registered with Riversource Distributors, Inc. Stephen's areas of expertise include securities products and variable contracts.

Firm Information

Stephen Wolfrath 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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Stephen Wolfrath’s Registration & Firm History

MN

01/22/2007 - Present

Riversource Distributors, Inc. (Minneapolis MN)

MN

05/29/1997 - 01/24/2005

THRIVENT INVESTMENT MANAGEMENT INC. (MINNEAPOLIS MN)

MN

10/01/1991 - 03/29/1995

AAL CAPITAL MANAGEMENT CORPORATION (MINNEAPOLIS MN)

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Licenses & Designations

BC

Issued 09/25/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/20/1991

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Stephen Ray Wolfrath. Review regulatory record here.
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