Robert B. Ellender
Professional summary
Robert Blake Ellender was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, Robert had worked at 12 firms, which includes INVESCO ADVISERS INC., INVESCO DISTRIBUTORS INC., JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC, MIDAMERICA FINANCIAL SERVICES INC., CARTER TERRY & COMPANY INC., SUN LIFE FINANCIAL DISTRIBUTORS INC., MML DISTRIBUTORS LLC, PRUDENTIAL ANNUITIES DISTRIBUTORS INC, EQUITABLE DISTRIBUTORS LLC, UBS FINANCIAL SERVICES INC., A. G. EDWARDS & SONS INC., EDWARD JONES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2014 - June 15, 2015
INVESCO ADVISERS, INC.
December 12, 2013 - June 15, 2015
INVESCO DISTRIBUTORS, INC.
May 8, 2012 - October 10, 2013
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
August 30, 2010 - May 17, 2012
MIDAMERICA FINANCIAL SERVICES, INC.
January 19, 2010 - August 16, 2010
CARTER, TERRY & COMPANY, INC.
April 23, 2008 - February 13, 2009
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
December 17, 2007 - April 7, 2008
MML DISTRIBUTORS, LLC
August 17, 2006 - December 14, 2007
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
February 20, 2001 - July 13, 2006
EQUITABLE DISTRIBUTORS, LLC
June 19, 1997 - February 27, 2001
UBS FINANCIAL SERVICES INC.
October 25, 1995 - July 31, 1996
A. G. EDWARDS & SONS, INC.
September 1, 1993 - October 13, 1995
EDWARD JONES
Primary Firm SEC Registration
INVESCO ADVISERS, INC.
CRD#: 105360 / SEC#: 801-33949
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
INVESCO ADVISERS, INC.
CRD#: 105360 / SEC#: 801-33949
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 61,236 |
| AUM (Assets Under Management) | $ 756,881,223,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 10/27/2023 |
Red Flags
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