Richard F. Robinson
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.
Richard Frank Robinson JR was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1988. Richard had worked at 10 firms and has passed the Series 63 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
September 28, 1998 - September 13, 1999
IDS LIFE INSURANCE COMPANY
September 28, 1998 - September 13, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
June 3, 1996 - August 26, 1998
SOUTHERN CAPITAL SECURITIES, INC.
April 10, 1992 - June 3, 1996
SUNPOINT SECURITIES, INC.
October 14, 1991 - March 6, 1992
OSAIC WEALTH, INC.
April 1, 1991 - October 9, 1991
ADVANTAGE CAPITAL CORPORATION
January 3, 1991 - April 19, 1991
SECURITIES AMERICA, INC.
September 24, 1990 - January 3, 1991
MALONE & ASSOCIATES, INC.
January 20, 1989 - February 20, 1990
PARKER JAMESON, INC.
December 20, 1988 - January 24, 1989
FIRST EAGLE, INC.
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
IDS LIFE INSURANCE COMPANY
CRD#: 6321 / SEC#: , 8-14124
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERIPRISE FINANCIAL, INC. | SHAREHOLDER | |
| ALVERO, GUMER CRUZ | DIRECTOR, EVP - ANNUITIES | 1975307 |
| BECHTOLD, TIMOTHY VERNON | DIRECTOR, PRESIDENT | 1621000 |
| BERMAN, ARTHUR HOWARD | DIRECTOR, EVP - FINANCE | 4591628 |
| RUETHER, JULIE ANN | CHIEF COMPLIANCE OFFICER | 1090661 |
| SCHWARZMANN, MARK EDWARD | DIRECTOR, CEO, COB | 4742555 |
| STEWART, DAVID KENT | VICE PRESIDENT AND CONTROLLER | 2990869 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
