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Robert Lawrence Waxman

Ameriprise Financial Services, LLC

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About Robert Lawrence Waxman

Robert Lawrence Waxman is a financial advisor at Ameriprise Financial Services, LLC. Robert has been in the financial services industry since 1981. Robert holds the Series 3, 7, and 63 licenses, and has also passed the SIE exam. Currently, Robert is registered in 12 states. Previously, Robert worked at UBS Financial Services Inc., Smith Barney Inc., Donaldson, Lufkin & Jenrette Securities Corporation, Kidder, Peabody & Co. Incorporated, and E.F. Hutton & Company Inc. Robert is a board member for Waxman, a non-investment related company. Robert provides financial planning services, pension consulting services, educational seminars, and asset allocation services.

Firm Information

Robert Waxman is currently registered with Ameriprise Financial Services, LLC. Ameriprise Financial Services, LLC is a Limited Liability Company formed in 1971 and headquartered in Minneapolis, Minnesota. The firm offers a variety of financial services, including financial planning, pension consulting, educational seminars, and portfolio management for individuals and businesses. Ameriprise has a significant presence in the United States, with a network of over 11,000 licensed agents and investment advisor representatives. The firm manages over $479 billion in assets for a diverse range of clients, including high-net-worth individuals, corporations, and pension plans.
Ameriprise Financial Services, LLC

707 2ND AVENUE SOUTH

MINNEAPOLIS, MN 55402

$479.79B

Assets Under Management

140,938

Total Clients

13,002

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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asset allocation services

Asset allocation services

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Robert Waxman’s Registration & Firm History

FL

05/05/2009 - Present

Ameriprise Financial Services, LLC (Ft Lauderdale FL)

FL

07/22/1994 - 05/13/2009

UBS FINANCIAL SERVICES INC. (AVENTURA FL)

NY

06/26/1984 - 08/05/1994

SMITH BARNEY INC. (NEW YORK NY)

NA

01/20/1984 - 06/11/1984

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION

NA

01/05/1982 - 01/19/1984

KIDDER, PEABODY & CO. INCORPORATED

NA

03/23/1981 - 09/08/1981

E. F. HUTTON & COMPANY INC

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Licenses & Designations

BC

Issued 03/27/1981

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/26/1986

Series 3 - National Commodity Futures Examination

BC

Issued 03/21/1981

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Robert Lawrence Waxman. Review regulatory record here.
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