Full text of RIVERSOURCE DISTRIBUTORS, INC.'s X-17A-5 filed 2022-02-25 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ FINANCIAL STATEMENTS AND SUPPLEMENTAL I FORMATION RiverSource Distributors, Inc. SEC File Number: 8-67196 As ofand for the Year Ended December31,202I With Reports of Independent Registered Public Accounting Finn Required by SEC Rule I 7a-5. This report is deemed confidential in a ccordance with rule 17a-5(e)(3) under the Securities Exchange Act of 1934. A Statement ofFinancial Conclition and Independent Auclitor's Report, bound separately, has been filed with the U.S. Securities and Exchangesim ultaneously as a Public Document. {1}------------------------------------------------ | | UNITED STATES | | 0MB APPROVAL | | |--------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------|-------------------------------------------|--| | | SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | | | | | | ANNUAL<br>REPORTS | | hours per response. 12 | | | | | 5fC fllf NUMBER | | | | | | 8-67196 | | | | | Ill<br>PART | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | FILING FOR THE PERIOD BEGINNING | 01/01/2021<br>____ AND ENDING 12/31/2021<br>_ | | ___ _ | | | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | RiverSource<br>NAME OF FIRM:<br>_ | Distributors,<br>Inc. | | ________________ _ | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Cd Broker-dealer<br>D Check here if respondent 15 also an OTC derivatives dealer | D<br>D Security-based swap dealer | | Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 802<br>Ameriprise<br>Financial | South<br>Center,<br>707<br>2nd<br>Avenue | | | | | | (No. and Street) | | | | | Minneapolis | MN | | 55474 | | | (Cltvl | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Michael<br>Mattox | 612-678-0262 | michael.s.mattox@ampf.com | | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this…Read the full text as markdown