Robert Christopher Pulliam

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:

Current Employers

Ameriprise Financial Services, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2022-10-21

TX RA
APPROVED

Since 2022-10-21

Branch Locations

Houston, TX • United States

3200 Southwest Fwy Ste 3100, Houston, TX 77027-7528 • United States

1601 Elm St Ste 4350, Dallas, TX 75201 • 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

Organization	City	State	From	To
Ameriprise Financial Services, Llc	Houston	TX	05/2022	Present
Unemployed	Houston	TX	02/2022	05/2022
Swbc Mortgage Corporation	Austin	TX	08/2017	02/2022
Unemployed	College Station	TX	05/2017	08/2017
Hilton College Station	College Station	TX	10/2015	05/2017

05/2022 → Present

Ameriprise Financial Services, Llc

Houston, TX
02/2022 → 05/2022

Unemployed

Houston, TX
08/2017 → 02/2022

Swbc Mortgage Corporation

Austin, TX
05/2017 → 08/2017

Unemployed

College Station, TX
10/2015 → 05/2017

Hilton College Station

College Station, TX

Other Businesses

Outside Employment; Geaux Sooners, LLC DBA Luminate; Financial Advisor; Manage advisory business; 1601 Elm Street, Suite 4350, Dallas, TX, 75201; Investment-Related; 05/23/2022; 60 hours per month; 60 during trading hours.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-10-20

S66 Uniform Combined State Law Examination

2022-10-20

Other Names

Rob Pulliam

View on SEC IAPD