Robert L. Durham
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 Lee Durham, who also goes by Rob Durham, Robert L Durham, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1994. Robert had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2016 - January 3, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
May 11, 2016 - January 3, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
October 11, 2011 - April 28, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
October 11, 2011 - April 28, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
March 30, 2009 - October 17, 2011
CITIZENS SECURITIES, INC.
March 27, 2009 - October 17, 2011
CITIZENS SECURITIES, INC.
April 2, 2007 - April 16, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - April 16, 2009
MORGAN STANLEY & CO. LLC
September 26, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
September 22, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
July 11, 2002 - October 2, 2006
WELLS FARGO CLEARING SERVICES, LLC
July 11, 2002 - October 2, 2006
WELLS FARGO CLEARING SERVICES, LLC
April 28, 2000 - July 25, 2002
PRUDENTIAL EQUITY GROUP, LLC
August 16, 1999 - May 9, 2000
A. G. EDWARDS & SONS, INC.
January 5, 1999 - August 17, 1999
NATIONAL PLANNING CORPORATION
May 9, 1996 - January 4, 1999
THE ADVISORS GROUP, INC.
August 9, 1994 - June 4, 1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 9, 1994 - June 4, 1996
EQUITABLE ADVISORS, LLC
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.
