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Robert Denning

Ameriprise Financial Services, LLC
46 Years of Experience
Birmingham, AL
9 DisclosuresBroker
View SEC Summary
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Robert Denning is a registered investment advisor at Ameriprise Financial Services, LLC, based in Birmingham, AL, with 46 years of industry experience. Robert is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 6 more. Their firm serves 1,386,329 clients with $660B in assets under management.

Ameriprise Financial Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
12955 advisors
Number of Clients
1,386,329 clients
Average Client Portfolio
$476K average
Assets Under Management
$660.5B

Fee Structure

Minimum Investment:$2K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

The maximum total annual advisory fee is 2.0% of managed account assets. Fees are negotiable with your financial advisor and vary based on the specific program and services selected.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

2501 20th Pl S Ste 400, Birmingham, AL, 35223

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History

Regulatory History (9)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 2013
Settled
Customer Dispute
May 2011
Settled
Customer Dispute
June 2010
Settled
Customer Dispute
August 2009
Settled
Customer Dispute
May 2002
Settled
Regulatory
December 1997
Final
Customer Dispute
May 1996
Settled
Customer Dispute
January 1996
Award / Judgment
Customer Dispute
August 1994
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Robert is the Vice Chairman of the Board of Directors for Denning, dedicating minimal time to this role. This activity is not investment-related.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
February 2022 - Present · 4 yrs 8 mos
Ameriprise Financial Services, LLCBroker
February 2022 - Present · 4 yrs 8 mos
Ameriprise Financial Services, LLC
January 2022 - Present · 4 yrs 9 mos
Previous Registrations
UBS Financial Services INC.
September 2000 - February 2022 · 21 yrs 5 mos
UBS Financial Services INC.Broker
May 2000 - February 2022 · 21 yrs 9 mos
Morgan Keegan & Company, INC.Broker
February 1995 - May 2000 · 5 yrs 3 mos
Dean Witter Reynolds INC.Broker
November 1979 - February 1995 · 15 yrs 3 mos
State Registrations16 states
ALCACOFLGAILINKYMDMSNCOKSCTXUTVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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