Wendell A. Rounds
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.
Wendell Anthony Rounds was a registered financial professional .
Wendell is a previously registered financial professional and started their career in finance in 2001. Wendell had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2026 - July 16, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
October 19, 2023 - July 17, 2026
THE HUNTINGTON INVESTMENT COMPANY
July 21, 2023 - July 17, 2026
THE HUNTINGTON INVESTMENT COMPANY
April 27, 2015 - August 4, 2022
THE HUNTINGTON INVESTMENT COMPANY
March 5, 2012 - March 14, 2014
FIFTH THIRD SECURITIES, INC.
February 8, 2010 - February 9, 2011
CHASE INVESTMENT SERVICES CORP.
December 5, 2005 - August 13, 2008
PRUCO SECURITIES, LLC.
March 21, 2005 - June 6, 2005
GUNNALLEN FINANCIAL, INC
August 16, 2004 - March 21, 2005
BROWNCO, LLC
June 10, 2003 - August 18, 2004
WADDELL & REED
November 5, 2002 - April 30, 2003
IDS LIFE INSURANCE COMPANY
November 5, 2002 - April 30, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
February 16, 2001 - October 10, 2002
PRUCO SECURITIES, 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 |
| 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.
