ROBERT JOHN CLEARY is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 1 W ELM ST, STE 450, CONSHOHOCKEN, PA, 19428-4108.
ROBERT JOHN CLEARY has worked at AMERIPRISE FINANCIAL SERVICES, INC. since February 25, 1987
Disclosure History
ROBERT JOHN CLEARY has 2 Disclosure Event(s).
Date: January 10, 2013 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: FIRST NOTIFICATION OF LEGAL ACTION NOT RECEIVED UNTIL 04/03/2013, AS INITIAL NOTIFICATION MAILED TO OLD ADDRESS.
Date: June 02, 2004 Category: Customer Dispute Allegations: THE CLIENT ALLEGED AN UNAUTHORIZED TRANSACTION OF A BOND VALUED AT $175,000.00 Damage Amount Requested: $5,000.00 Broker Comment: THE FIRM FOUND THE CLIENT APPROVED THE TRANSACTION. THE CLIENT CONFIRMED THE TRANSACTION WAS PART OF THE STRATEGY FOR REALLOCATION TO INCREASE INCOME AND DECREASE VOLATILITY IN THEIR PORTFOLIO.
More Information
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