Robert F. Nicholas
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 Francis Nicholas, who also goes by Bob F. Nicholas, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1994. Robert had worked at 10 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
July 20, 2020 - August 4, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
December 4, 2012 - June 19, 2020
LPL FINANCIAL LLC
December 4, 2012 - June 19, 2020
LPL FINANCIAL LLC
January 17, 2006 - December 5, 2012
CETERA INVESTMENT SERVICES LLC
January 17, 2006 - December 5, 2012
CETERA INVESTMENT SERVICES LLC
February 23, 2005 - January 20, 2006
FIFTH THIRD SECURITIES, INC.
November 26, 2004 - January 20, 2006
FIFTH THIRD SECURITIES, INC.
November 27, 2002 - November 24, 2004
NATCITY INVESTMENTS, INC.
November 27, 2002 - November 24, 2004
NATCITY INVESTMENTS, INC.
May 22, 2002 - December 5, 2002
BLUE VASE SECURITIES, LLC
October 23, 2001 - May 30, 2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 23, 2001 - May 30, 2002
OSAIC FA, INC.
April 8, 1999 - November 2, 2000
NATCITY INSURANCE SERVICES, INC.
April 5, 1999 - November 2, 2000
NATCITY INVESTMENTS, INC.
December 13, 1994 - April 28, 1999
IDS LIFE INSURANCE COMPANY
December 13, 1994 - April 28, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
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 |
| 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.
