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Vibha J Rawal

Riversource Distributors, Inc.

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About Vibha J Rawal

Vibha Rawal is a financial professional with over 20 years of experience in the industry. Vibha currently works at Riversource Distributors, Inc. and is licensed to sell securities in Minnesota and Texas. Previously, Vibha has worked at MML INVESTORS SERVICES, LLC, ALLSTATE FINANCIAL SERVICES, LLC, PRINCIPAL SECURITIES, INC., ALLEN DOUGLAS SECURITIES, INC., MORGAN STANLEY DW INC., and G.L. BARRETT & ASSOCIATES, SECURITIES INCORPORATED.

Firm Information

Vibha Rawal 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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Vibha Rawal’s Registration & Firm History

MN

07/09/2021 - Present

Riversource Distributors, Inc. (Minneapolis MN)

TX

01/16/2020 - 04/16/2021

MML INVESTORS SERVICES, LLC (HOUSTON TX)

TX

10/06/2016 - 12/31/2019

ALLSTATE FINANCIAL SERVICES, LLC (Houston TX)

TX

07/30/2007 - 09/07/2016

PRINCIPAL SECURITIES, INC. (HOUSTON TX)

FL

04/18/2001 - 07/17/2003

ALLEN DOUGLAS SECURITIES, INC. (WINTER PARK FL)

NY

01/21/1998 - 04/20/2001

MORGAN STANLEY DW INC. (PURCHASE NY)

FL

06/23/1997 - 02/06/1998

G.L. BARRETT & ASSOCIATES, SECURITIES INCORPORATED (SARASOTA FL)

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Licenses & Designations

IA

Issued 11/27/2007

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/05/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/19/2009

Series 7 - General Securities Representative Examination

BC

Issued 09/10/2006

Series 6 - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 02/17/1998

Series 31 - Futures Managed Funds Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Vibha J Rawal. Review regulatory record here.
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