Robert Caldwell (CRD #: 1995182), a broker previously registered with Ameriprise Financial Services, LLC, has voluntarily resigned. This disclosure appears on his BrokerCheck record, accessed on December 11, 2025. Keep reading if you have questions.

Employment Separation After Allegations

On November 9, 2025, Robert Caldwell voluntarily resigned from Ameriprise Financial Services, LLC. At the time, the firm alleged he failed to comply with the terms of the company’s corrective action plan.

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failing to comply with the terms of a corrective action plan may violate this rule. 

Background Information

Robert Caldwell has passed the following exams:

• SIE – Securities Industry Essentials Examination
• Series 7 General Securities Representative Examination
• Series 6 Investment Company Products/Variable Contracts Representative Examination
• Series 63 Uniform Securities Agents State Law Examination

He was previously a registered broker in two states: Minnesota and Pennsylvania.

Robert Caldwell has registered with three firms:

• Ameriprise Financial Services, LLC (CRD #: 6363)
• IDS Life Insurance Company (CRD #: 6321)
• American Express Service Corporation (CRD #: 10518)

Kurta Law Can Help

If you worked with Robert Caldwell and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.