Robert E. House

AMUNI FINANCIAL

Little Rock, AR 72207

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CRD#: 1529637

Professional summary

Robert Edward House, who also goes by Bob House, is a registered financial advisor currently at AMUNI FINANCIAL, INC. located in Little Rock, Arkansas.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Robert has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bob House

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

I HAVE A LIFE INSURANCE LICENSE IN THE STATE OF ARKANSAS. I WILL NOTIFY AMERICAN MUNICIPAL SECURITIES PRIOR TO CONDUCTING ANY FUTURE INSURANCE BUSINESS. B&L HOUSE RENTALS, LLC, NOT INVENSTMENT RELATED, 121 HOUSE ROAD, HEBER SPRINGS, AR 72543 SINGLE FAMILY RENTAL HOME, MEMBER OF DISREGARDED ENTITY, STARTING 1/1/2021 WORK APPROX 1 HOUR PER MONTH, ALL DURING TRADING HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Edward House's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Robert Edward House's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 17, 2003 - Present

AMUNI FINANCIAL, INC.

Office #1: 1501 N University Ave Suite 330, Little Rock, AR 72207

RIA

CRD#: 8365

Little Rock, AR

Current

April 27, 2001 - Present

AMUNI FINANCIAL, INC.

Office #1: 1501 N University Ave Suite 330, Little Rock, AR 72207

RIA

CRD#: 8365

Little Rock, AR

Past

December 22, 1992 - April 12, 2001

MARION BASS SECURITIES CORPORATION

CRD#: 7961

CHARLOTTE, NC

Past

August 3, 1990 - December 23, 1992

POWELL & SATTERFIELD, INC.

CRD#: 7030

LITTLE ROCK, AR

Past

February 1, 1990 - August 14, 1990

FIRST AMERICAN SECURITIES, INC.

CRD#: 18430

Past

August 19, 1986 - January 1, 1990

SWINK & COMPANY, INC.

CRD#: 7111

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AMUNI FINANCIAL, INC.

AMERICAN MUNICIPAL SECURITIES, INC. | AMUNI FINANCIAL, INC.

CRD#: 8365 / SEC#: 801-120481, 8-25338

RIA

Registered Investment Advisory firm - SEC (3/11/2021 Approved)

Arkansas

Registered Investment Advisory firm - SEC (3/15/2021 Terminated)

Florida

Registered Investment Advisory firm - SEC (3/15/2021 Terminated)

Georgia

Registered Investment Advisory firm - SEC (3/17/2021 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (3/15/2021 Terminated)

Michigan

Registered Investment Advisory firm - SEC (3/15/2021 Terminated)

Ohio

Registered Investment Advisory firm - SEC (3/11/2022 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (3/16/2021 Terminated)

Texas

Registered Investment Advisory firm - SEC (3/15/2021 Terminated)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(9/24/2025)

Arkansas
(4/27/2001)

IAR

Arkansas
(9/17/2003)

California
(5/17/2005)

Colorado
(2/27/2020)

Delaware
(6/3/2015)

Florida
(4/27/2001)

Georgia
(6/8/2004)

Illinois
(5/8/2001)

Indiana
(9/13/2016)

Iowa
(11/20/2001)

Louisiana
(5/2/2001)

Michigan
(7/3/2008)

Minnesota
(5/11/2020)

Mississippi
(1/3/2005)

Missouri
(10/21/2004)

New Jersey
(4/27/2001)

New Mexico
(4/27/2001)

New York
(4/27/2001)

North Carolina
(9/2/2004)

Ohio
(2/15/2007)

Oklahoma
(1/4/2002)

Pennsylvania
(2/5/2018)

Puerto Rico
(1/29/2019)

South Carolina
(5/23/2013)

South Dakota
(5/2/2013)

Tennessee
(4/27/2001)

Texas
(4/27/2001)

IAR

Texas
(8/6/2020)

Washington
(10/25/2001)

Wisconsin
(9/13/2002)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/25/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/29/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/29/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/16/1986

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

AMUNI FINANCIAL, INC.

AMERICAN MUNICIPAL SECURITIES, INC. | AMUNI FINANCIAL, INC.

CRD#: 8365 / SEC#: 801-120481, 8-25338

RIA

Registered Investment Advisory firm - SEC (3/11/2021 Approved)

Arkansas

Registered Investment Advisory firm - SEC (3/15/2021 Terminated)

Florida

Registered Investment Advisory firm - SEC (3/15/2021 Terminated)

Georgia

Registered Investment Advisory firm - SEC (3/17/2021 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (3/15/2021 Terminated)

Michigan

Registered Investment Advisory firm - SEC (3/15/2021 Terminated)

Ohio

Registered Investment Advisory firm - SEC (3/11/2022 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (3/16/2021 Terminated)

Texas

Registered Investment Advisory firm - SEC (3/15/2021 Terminated)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

720 Second Ave S., St Petersburg, FL 33701

Mailing Address

P.o. Box 11749, St. Petersburg, FL 33733-9680

Phone number

(727) 825-0522

Established

Florida since 08/18/1980

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (14 States and Territories)

FINRA licenses (48 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2A APPENDIX 1 (2/24/2025)

ADV PART 2A (2/24/2025)

Direct owners and executive officers

Name	Position	CRD#
PETAGNA, MICHAEL COOPER	PRESIDENT AND CHIEF COMPLIANCE OFFICER	5756933
ABELMAN, JARED B	SR. VICE PRESIDENT	5161601
DONOHUE, MARK KEVIN	SR. VICE PRESIDENT	856777
ABELMAN, STEPHEN CHARLES	SENIOR TRADER	502868
KNIGHTON, EMILY RUTH	CHIEF FINANCIAL OFFICER	6265657

Regulatory assets under management

Total Number of Accounts	274
AUM (Assets Under Management)	$ 159,700,000

Disclosures

Regulatory Event	2
Arbitration	1
Bond	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/25/2024	Cover Page	Report
06/13/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Robert E. House

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Edward House's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Robert Edward House's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMUNI FINANCIAL, INC.

MARION BASS SECURITIES CORPORATION

POWELL & SATTERFIELD, INC.

FIRST AMERICAN SECURITIES, INC.

SWINK & COMPANY, INC.

Primary Firm SEC Registration

AMUNI FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/25/1997

Series 63

Date: 8/29/1986

SIE

Date: 10/1/2018

Series 3

Date: 6/29/1987

Series 7

Date: 8/16/1986

FINRA

Current Firm

AMUNI FINANCIAL, INC.

Contact information

SEC notice filing (14 States and Territories)

FINRA licenses (48 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

AMUNI FINANCIAL, INC.

TRUST BUT VERIFY

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