Robert L. Blanchard
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Lloyd Blanchard, who also goes by Bob Blanchard, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1981. Robert had worked at 11 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2009 - December 9, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - December 9, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
July 15, 2008 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
July 11, 2008 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
March 14, 2000 - July 24, 2008
UBS FINANCIAL SERVICES INC.
February 29, 2000 - July 24, 2008
UBS FINANCIAL SERVICES INC.
March 2, 1998 - March 1, 2000
RBC CAPITAL MARKETS, LLC
May 22, 1995 - March 2, 1998
DAIN RAUSCHER INCORPORATED
September 10, 1990 - May 26, 1995
WELLS FARGO CLEARING SERVICES, LLC
September 15, 1989 - September 26, 1990
PRUDENTIAL EQUITY GROUP, LLC
April 19, 1989 - September 15, 1989
THOMSON MCKINNON SECURITIES INC.
February 15, 1988 - May 4, 1989
LEHMAN BROTHERS INC.
May 13, 1985 - February 15, 1988
E. F. HUTTON & COMPANY INC
September 24, 1981 - May 20, 1985
BLUNT ELLIS & LOEWI INCORPORATED
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
