Robert R. Munoz
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 Richard Munoz, CFP®, who also goes by Bob Munoz, Robert Munoz, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2002. Robert had worked at 11 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2015
Experience
November 25, 2020 - April 29, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
November 25, 2020 - April 29, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
October 24, 2011 - November 30, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 24, 2011 - November 30, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 16, 2011 - October 27, 2011
NEXT FINANCIAL GROUP, INC.
March 8, 2011 - October 27, 2011
NEXT FINANCIAL GROUP, INC.
February 25, 2011 - March 8, 2011
PRUCO SECURITIES, LLC.
June 1, 2009 - May 27, 2010
MORGAN STANLEY
June 1, 2009 - May 27, 2010
MORGAN STANLEY
September 15, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
September 10, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 3, 2007 - November 15, 2007
USAA FINANCIAL PLANNING SERVICES
March 15, 2007 - November 15, 2007
USAA FINANCIAL ADVISORS, INC.
January 4, 2006 - March 1, 2007
EQUITABLE ADVISORS, LLC
May 13, 2005 - January 24, 2006
NYLIFE SECURITIES LLC
December 4, 2002 - April 15, 2005
MONY SECURITIES CORPORATION
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.
Company Information
AMERIPRISE FINANCIAL SERVICES, LLC
Financial AdvisorCRD#: 6363TRUST BUT VERIFY
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