Robert A. Perez
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 Allen Perez was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1996. Robert had worked at 10 firms and has passed the Series 65, Series 63, 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
July 17, 2017 - November 5, 2019
ADVISORS ASSET MANAGEMENT, INC.
July 12, 2017 - November 5, 2019
ADVISORS ASSET MANAGEMENT, INC.
October 1, 2012 - February 3, 2016
J.P. MORGAN SECURITIES LLC
October 1, 2012 - February 3, 2016
J.P. MORGAN SECURITIES LLC
August 18, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
August 18, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
March 2, 2009 - April 22, 2009
USAA FINANCIAL PLANNING SERVICES
October 21, 2008 - April 22, 2009
USAA FINANCIAL ADVISORS, INC.
April 26, 2007 - April 14, 2008
ALLIANCEBERNSTEIN INVESTMENTS, INC.
September 13, 2006 - April 4, 2007
FROST BROKERAGE SERVICES, INC.
June 23, 2004 - September 12, 2006
ALLIANCEBERNSTEIN INVESTMENTS, INC.
May 6, 1999 - March 1, 2004
BROADWAY BROKERAGE SERVICES, INC.
April 30, 1996 - June 26, 1996
IDS LIFE INSURANCE COMPANY
April 30, 1996 - June 26, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
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
ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AAM HOLDINGS, INC | SHAREHOLDER | |
| CORSO, CLIFFORD DEAN | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER/DIRECTOR | 2477519 |
| DANIEL, BART PATRICK | CHIEF TECHNOLOGY OFFICER/DIRECTOR | 4263841 |
| FERONE, MARILEE | EXEC. VP | 1450526 |
| GENOVESE, CHRISTOPHER THOMAS | EXEC. VP/DIRECTOR | 2255451 |
| GILBERT, BRIAN WAYNE | SR. VP | 1857325 |
| LLOYD, MATTHEW WILLIAM | CHIEF INVESTMENT STRATEGIST/EXEC. VP/DIRECTOR | 2460808 |
| MEITZNER, ALEX ROBERT | SR. VP | 1964373 |
| OPIE, JEFFREY KURTIS | EXEC. VP, CHIEF FINANCIAL OFFICER | 5763807 |
| SICKLES, CHARLES EDWARD | EXEC. VP | 2097390 |
| STEWART, RICHARD ALAN | EXEC. VP | 1653343 |
| STOKLOSA, TIMOTHY JOHN | EXEC. VP, CHIEF OPERATING OFFICER | 4897959 |
| WEBBER, JOHN EDWIN | SVP, CHIEF COMPLIANCE OFFICER/SECRETARY | 5169415 |
Regulatory assets under management
| Total Number of Accounts | 1,591 |
| AUM (Assets Under Management) | $ 1,958,198,460 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
