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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

HERBERT CHARLES HOLLENDER

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Glouchester, MA | Middleton, MA

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Search this name across graphsid dfx:ria:302d2435-b87f-1672-2f2b-8872dd20fb7d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 22, 2000 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: AMERIPRISE FINANCIAL SERVICES, LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 26, 1983earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63
First exam: Oct 26, 1983
First registration: May 22, 2000
Dual registered: yes, broker-dealer
Other names: HERBERT CHARLES HOLLENDER|HERB HOLLENDER
IAPD individual key: 1200421

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Nov 6, 2020	n/a	yes	Middleton, MA\|Glouchester, MA	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Jun 18, 2008	Nov 17, 2020	no	WELLESLEY, MA\|PEABODY, MA\|GLOUCESTER, MA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 1, 2003	Jun 19, 2008	no	WALTHAM, MA\|WALTHAM, MA	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	May 22, 2000	Jul 1, 2003	no	WELLESLEY, MA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
UBS FINANCIAL SERVICES INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Nov 17, 2020	Nov 6, 2020	-11	Firm change	Wirehouse to ibd
WELLS FARGO ADVISORS	UBS FINANCIAL SERVICES INC.	Jun 19, 2008	Jun 18, 2008	-1	Firm change	Wirehouse to wirehouse
PRUDENTIAL EQUITY GROUP, LLC	WELLS FARGO ADVISORS	Jul 1, 2003	Jul 1, 2003	0	Bulk transfer	Other

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Nov 6, 2020 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jun 18, 2008 to Nov 17, 2020factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 1, 2003 to Jun 19, 2008factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
May 22, 2000 to Jul 1, 2003factForm ADV

Dated events

No dated event names this entity yet.