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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

ROBERT DAVID WALLACE

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Knoxville, TN | Cookeville, TN

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Search this name across graphsid dfx:ria:3df6eb01-d8e7-d194-a0b5-c828ffa1bb99

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2004 to Sep 14, 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: Jan 21, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Jan 21, 1994
First registration: Mar 30, 2004
Dual registered: yes, broker-dealer
Other names: BOBBY WALLACE
IAPD individual key: 2422609

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	Jan 15, 2014	n/a	yes	Knoxville, TN\|Cookeville, TN\|Knoxville, TN	Current employment
STERNE AGEE ASSET MANAGEMENT, INC.	Former SEC adviser	Dec 9, 2011	Feb 7, 2014	no	BIRMINGHAM, AL	Previous registration
ANDERSON & STRUDWICK, INCORPORATED	Former SEC adviser	Nov 14, 2005	Dec 12, 2011	no	KNOXVILLE, TN\|RICHMOND, VA\|KNOXVILLE, TN	Previous registration
J.J.B. HILLIARD, W.L. LYONS, LLC	Former SEC adviser	Mar 30, 2004	Sep 22, 2005	no	KNOXVILLE, TN	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
STERNE AGEE ASSET MANAGEMENT, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Feb 7, 2014	Jan 15, 2014	-23	Firm change	Other
ANDERSON & STRUDWICK, INCORPORATED	STERNE AGEE ASSET MANAGEMENT, INC.	Dec 12, 2011	Dec 9, 2011	-3	Firm change	Other
J.J.B. HILLIARD, W.L. LYONS, LLC	ANDERSON & STRUDWICK, INCORPORATED	Sep 22, 2005	Nov 14, 2005	53	Firm change	Other

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Jan 15, 2014 to presentfactForm ADV
→ STERNE AGEE ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Dec 9, 2011 to Feb 7, 2014factForm ADV
→ ANDERSON & STRUDWICK, INCORPORATEDRegistered adviserregistration: previous registration
Nov 14, 2005 to Dec 12, 2011factForm ADV
→ J.J.B. HILLIARD, W.L. LYONS, LLCRegistered adviserregistration: previous registration
Mar 30, 2004 to Sep 22, 2005factForm ADV

Dated events

No dated event names this entity yet.