Danny C. Rollo
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.
Danny Clyde Rollo, who also goes by Dan C Rollo, Dan Clyde Rollo, was a registered financial professional .
Danny is a previously registered financial professional and started their career in finance in 1983. Danny had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2011 - December 27, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
October 21, 2011 - December 27, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
January 4, 2010 - October 31, 2011
LPL FINANCIAL LLC
December 11, 2009 - December 21, 2009
LPL FINANCIAL LLC
December 11, 2009 - October 31, 2011
LPL FINANCIAL LLC
June 26, 2006 - December 21, 2009
VALIC FINANCIAL ADVISORS, INC.
June 26, 2006 - December 21, 2009
VALIC FINANCIAL ADVISORS, INC.
August 26, 2004 - June 28, 2006
KOVACK SECURITIES INC.
March 31, 2000 - June 28, 2006
KOVACK SECURITIES INC.
July 30, 1999 - April 12, 2000
METROPOLITAN LIFE INSURANCE COMPANY
July 30, 1999 - April 12, 2000
MSI FINANCIAL SERVICES, INC.
February 5, 1992 - September 17, 1999
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 5, 1992 - September 17, 1999
OSAIC FA, INC.
September 24, 1986 - February 25, 1992
GUARDIAN INVESTOR SERVICES LLC
August 8, 1983 - August 18, 1986
GREEN HILL FINANCIAL SERVICE CORPORATION
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.
