Joshua Larson
Lakeville
Summary
Sales Supervision Manager with 13+ years of experience providing front-line supervision within broker-dealer and wealth management environments. Deep expertise in complex and structured products, suitability oversight, and advisor risk management. Proven ability to identify emerging risks early, partner effectively with field leadership, and enhance supervisory programs through education, targeted outreach, and process improvement. Recognized subject-matter expert with a strong reputation for being tough, fair, and solutions-oriented.
Overview
13
13
years of professional experience
1
1
Certification
Work History
Sales Supervision Manager – Structured Products
Ameriprise Financial
Minneapolis, MN
01.2017 - Current
- Conduct daily, comprehensive risk-based supervision of structured products and other complex investment strategies, ensuring compliance with firm policies, regulatory requirements, and client suitability standards.
- Partner with advisors to resolve suitability issues by identifying missing or inconsistent information, clarifying documentation requirements, and guiding corrective actions.
- Lead proactive advisor and client outreach via phone and email to discuss transaction details, validate recommendations, and mitigate potential supervisory or regulatory risk.
- Collaborate closely with field leadership to monitor advisor business practices, address emerging risk trends, and drive improvements through education and targeted coaching.
- Serve as a subject-matter expert on structured products, maintaining in-depth knowledge of product features, risks, performance drivers and suitability considerations.
- Lead the design, review, and enhancement of supervisory procedures, job aids, and controls to strengthen consistency, efficiency, and supervisory effectiveness.
- Manage onboarding and outreach processes for newly authorized structured product advisors, ensuring readiness, understanding of supervisory standards, and compliance prior to transacting.
- Partner cross-functionally with Compliance, Product, Technology, and Business Supervision leadership to evolve supervisory programs and close identified risk and process gaps.
Sales Supervision Manager – Structured Products & Advisory Platforms
Ameriprise Financial
Minneapolis, MN
04.2015 - 01.2017
- Supervised suitability for structured products and advisory platform transactions, including account openings, periodic reviews, and higher-risk activity.
- Provided detailed guidance to advisors on documentation requirements, suitability gaps, and corrective actions needed to complete supervisory reviews.
- Conducted advisor and client outreach to clarify investment intent, ensure alignment with objectives, and mitigate supervisory or regulatory risk.
- Collaborated with field leadership to identify advisors with elevated risk profiles and implement corrective actions through education and monitoring.
Sales Supervision Manager – Annuities & Insurance
Ameriprise Financial
Minneapolis, MN
10.2013 - 03.2015
- Reviewed suitability of variable, fixed, and immediate annuity transactions in accordance with firm policy and regulatory standards.
- Educated advisors on annuity features, suitability expectations, and alternative solutions when transactions presented elevated risk concerns.
- Served as a point of escalation for complex suitability questions and high-risk recommendations.
Suitability Principal
Woodbury Financial Services
Woodbury, MN
09.2012 - 10.2013
- Conducted firm-wide suitability reviews for brokerage, mutual funds, annuities, alternative investments, and variable life insurance.
- Identified compliance vulnerabilities and worked directly with advisors to resolve deficiencies prior to approval.
- Provided guidance on product appropriateness based on client objectives, risk tolerance, and financial status.
Education
Bachelor of Science - Agricultural Food & Business Management (Financial Management Emphasis)
University of Minnesota
Minneapolis-St. Paul, MNSkills
- Complex & Structured Product Supervision
- Suitability & Best-Interest Reviews (Reg BI)
- First-Line Risk Oversight
- Advisor & Client Outreach
- Supervisory Program Enhancement
- Sales Practice Risk Identification
- Policy Interpretation & Application
- Field & Leadership Partnership
- Regulatory & Compliance Awareness
- Trend Analysis & Early Risk Detection
Certification
FINRA Series 6, 7, 9/10, 24 & 66
Timeline
Sales Supervision Manager – Structured Products
Ameriprise Financial
01.2017 - Current
Sales Supervision Manager – Structured Products & Advisory Platforms
Ameriprise Financial
04.2015 - 01.2017
Sales Supervision Manager – Annuities & Insurance
Ameriprise Financial
10.2013 - 03.2015
Suitability Principal
Woodbury Financial Services
09.2012 - 10.2013
Bachelor of Science - Agricultural Food & Business Management (Financial Management Emphasis)
University of Minnesota