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Robert J Kay

Ameriprise Financial Services, LLC

Westlake Village, CA

Simi Valley, CA

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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-08-02
CA RA APPROVED 2021-07-30
  • TX RA
    APPROVED
    Since 2021-08-02
  • CA RA
    APPROVED
    Since 2021-07-30

Branch Locations

3027 Townsgate Rd Ste 200, Westlake Village, CA 91361-5863 • United States

Simi Valley, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner &Amp; Smith Incorporated Van Nuys CA 02/2012 07/2021
Bank Of America, N.A. Van Nuys CA 03/2012 07/2021
Ameriprise Financial Services, Llc Westlake Village CA 07/2021 Present
  • 02/2012 → 07/2021
    Merrill Lynch, Pierce, Fenner &Amp; Smith Incorporated
    Van Nuys, CA
  • 03/2012 → 07/2021
    Bank Of America, N.A.
    Van Nuys, CA
  • 07/2021 → Present
    Ameriprise Financial Services, Llc
    Westlake Village, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-12-18
  • S66 Uniform Combined State Law Examination
    2009-12-18
Designations
Other Names
  • Robert Kay
  • Robert Jordan Kay

View on SEC IAPD

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Other Offices

MANCHESTER FINANCIAL INC · WESTLAKE VILLAGE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WESTLAKE VILLAGE, CA
EAGLE STRATEGIES LLC · WESTLAKE VILLAGE, CA
RKS MANAGEMENT, INC. · WESTLAKE VILLAGE, CA
MERCER GLOBAL ADVISORS INC. · Westlake Village, CA
LPL FINANCIAL LLC · WESTLAKE VILLAGE, CA
MML INVESTORS SERVICES, LLC · WESTLAKE VILLAGE, CA
EDWARD JONES · Westlake Village, CA

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