Robert A. Vigorita
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 Anthony Vigorita was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1972. Robert had worked at 14 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2016 - July 12, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
May 23, 2016 - July 12, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
January 30, 2015 - May 25, 2016
STONEX ADVISORS INC.
September 12, 2014 - May 25, 2016
STONEX SECURITIES INC.
May 23, 2008 - January 30, 2015
WRP INVESTMENTS, INC.
May 23, 2008 - September 12, 2014
WRP INVESTMENTS, INC.
September 8, 2003 - May 27, 2008
MUTUAL SERVICE CORPORATION
September 20, 2002 - May 27, 2008
MUTUAL SERVICE CORPORATION
June 15, 2001 - September 23, 2002
INVESTORS CAPITAL CORP.
August 22, 2000 - June 21, 2001
METROPOLITAN LIFE INSURANCE COMPANY
August 22, 2000 - June 21, 2001
MSI FINANCIAL SERVICES, INC.
July 2, 1999 - August 15, 2000
NATHAN & LEWIS SECURITIES, INC.
November 20, 1998 - June 9, 1999
CUNA BROKERAGE SERVICES, INC.
April 28, 1998 - December 1, 1998
SUNSET FINANCIAL SERVICES, INC.
July 17, 1997 - March 19, 1998
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 30, 1993 - July 11, 1997
WS GRIFFITH SECURITIES, INC.
May 16, 1972 - August 30, 1993
VP DISTRIBUTORS 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
Series 1
Date: 5/13/1972
Registered Representative 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.
