Robert D. Hernandez
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 David Hernandez, who also goes by R David Hernandez, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1990. Robert had worked at 18 firms and has passed the Series 66, Series 63, Series 7TO, SIE 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
April 13, 2017 - May 13, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
March 20, 2017 - May 13, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
October 6, 2015 - May 2, 2016
WEALTH WATCH ADVISORS, INC
July 17, 2013 - April 1, 2015
SECURIAN FINANCIAL SERVICES, INC.
June 28, 2013 - April 1, 2015
SECURIAN FINANCIAL SERVICES, INC.
October 21, 2009 - March 7, 2013
VALIC FINANCIAL ADVISORS, INC.
October 15, 2009 - March 7, 2013
VALIC FINANCIAL ADVISORS, INC.
March 28, 2007 - October 21, 2009
BROOKSTONE WEALTH ADVISORS, LLC
January 3, 2007 - October 5, 2009
MCNALLY FINANCIAL SERVICES CORPORATION
October 23, 2006 - November 21, 2006
GUNNALLEN FINANCIAL, INC
April 29, 2003 - November 21, 2006
GUNNALLEN FINANCIAL, INC
May 20, 2002 - July 31, 2002
BLACKLAKE SECURITIES CORPORATION
May 26, 2000 - December 1, 2001
AMERIVET SECURITIES, INC.
September 29, 1997 - March 25, 1999
AMERIVET SECURITIES, INC.
February 5, 1997 - October 2, 1997
EISNER SECURITIES, INC.
August 8, 1995 - April 28, 1997
NATIONWIDE SECURITIES CORPORATION
January 26, 1993 - November 1, 1994
T.L. SMITH SECURITIES
May 8, 1992 - May 11, 1993
TRADEWAY SECURITIES GROUP, INC.
December 6, 1991 - May 12, 1992
JOHNSON, MCKENNEY,CARR & COMPANY INCORPORATED
June 5, 1991 - November 25, 1991
FULTON FERRACUTE CAPITAL CORP, INC.
September 21, 1990 - June 24, 1991
QUEST CAPITAL STRATEGIES, INC.
August 8, 1990 - September 4, 1990
KOBER FINANCIAL CORP.
June 21, 1990 - October 18, 1990
BLINDER, ROBINSON & CO., INC.
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
Series 7TO
Date: 12/22/2022
General Securities Representative ExaminationCurrent 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.
