Robert Furciato
Professional summary
Robert Furciato JR was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert Furciato JR, who also goes by Robert Furciato Jr, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2002. Robert had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 11, 2011 - July 27, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
November 11, 2011 - July 27, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
October 23, 2009 - November 17, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - November 17, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 19, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 13, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 28, 2007 - April 26, 2007
CITIGROUP GLOBAL MARKETS INC.
June 7, 2004 - April 26, 2007
CITIGROUP GLOBAL MARKETS INC.
January 3, 2003 - June 7, 2004
OPPENHEIMER & CO. INC.
September 12, 2002 - January 3, 2003
CIBC WORLD MARKETS CORP.
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 25
Date: 10/21/1999
NYSE Trading Assistant 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.
