Robert E. Klein
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 Edwin Klein JR., who also goes by Bob Edwin Klein Jr, Bob Edwin Klein, Bob Klein, Robert Klein Jr, Robert Klein, Robert Edwin Klein, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1994. Robert had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2022 - January 26, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
December 1, 2022 - January 26, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
February 10, 2021 - June 3, 2022
BOK FINANCIAL SECURITIES, INC.
February 8, 2021 - June 3, 2022
BOK FINANCIAL SECURITIES, INC.
May 16, 2013 - October 30, 2019
BBVA SECURITIES INC.
May 7, 2013 - October 30, 2019
PNC MANAGED ACCOUNT SOLUTIONS, INC.
May 1, 2013 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
May 25, 2011 - April 30, 2013
BROKER DEALER FINANCIAL SERVICES CORP.
August 19, 2010 - January 3, 2011
LIBERTY LIFE SECURITIES LLC
February 29, 2008 - January 27, 2009
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
December 10, 2001 - April 2, 2007
LASALLE FINANCIAL SERVICES, INC.
September 30, 1999 - April 2, 2007
LASALLE FINANCIAL SERVICES, INC.
June 19, 1998 - September 27, 1999
AMERITAS INVESTMENT COMPANY, LLC
June 18, 1998 - September 16, 1999
HARRIS INVESTORS DIRECT, INC.
November 26, 1996 - June 15, 1998
WINGSPAN INVESTMENT SERVICES
April 22, 1994 - October 31, 1996
CITIGROUP GLOBAL MARKETS 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
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 |
| 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 |
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.
