Robert Hugh Maiocco

Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2013 → 03/2020
  Ameriprise Financial Services, Inc.
  Orlando, FL
• 03/2020 → Present
  Ameriprise Financial Services, Llc
  Orlando, FL

Previous Registrations

• 2013-02-20 → 2013-10-18
  Fifth Third Securities, Inc.
  Oviedo, FL
  Maitland, FL
  Apopka, FL
  Oviedo, FL
  Sanford, FL
  Winter Park, FL
  Altamonte Springs, FL
  Orlando, FL
  Orlando, FL
  Orlando, FL
• 2006-04-10 → 2013-02-21
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Lake Mary, FL
• 2004-07-01 → 2006-04-10
  Morgan Stanley Dw Inc.
  Winter Park, FL
  Winter Park, FL

Other Businesses

Business Ownership; Proposed as "Dolphins Make Me Happy LLC"; Co-owner; This business has not yet been formed as I am awaiting Ameriprise approval, but it would be a side hustle, mostly for my daughter and her fiancé, but one which my wife and I would own and initially fund, but which they would do most of the work and reward, if any. Although she has a Masters in Microbiology and he is in the final year of earning his Masters in Electrical Engineering, they both have other talents. She has strong drawing and artistic skills, while he is an excellent programmer/code; and they both enjoy operating their 3-D printer. The idea would be to have an informational, social, promotional website about dolphins (and if successful enough, other loveable creatures and places, real or imagined...lady bugs, unicorns, dragons, Tahoe, Sedona, NYC, etc.) promoted via social media, that could also sell mugs, t-shirts, posters & artwork, greeting cards, etc. through Etsy or other such sites through which they could job-shop out production & distribution of such items; and where they might also sell some of their own original 3-D printed designs. Initial website would most likely be DolphinsMakeMeHappy.com, but if might also be some LadyBugsMakeMeHappy.com as a lower key entry, and a way to beta test their skills at website development and integrating/linking with social media and Etsy type stores.; 2893 Old Castle Dr., , Winter Park, FL, 32792; Not Investment-Related; 07/20/2026; 1 to 9 hours per month; 0 during trading hours.

Exams

• S66 Uniform Combined State Law Examination
  2004-06-25
• S65 Uniform Investment Adviser Law Examination
  1997-09-05

Other Names

• Robert Maiocco