RR
Robert P. Rathbun
SPRING CAPITAL MANAGEMENT
Amarillo, TX 79101
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CRD#: 1018350
RR
Professional summary
Robert Paul Rathbun, who also goes by Robert P Rathbun, is a registered financial advisor currently at SPRING CAPITAL MANAGEMENT located in Amarillo, Texas and PURSHE KAPLAN STERLING INVESTMENTS located in Amarillo, Texas.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Robert has worked at 7 firms and has passed the Series 63, SIE, Series 31, Series 3, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert P Rathbun
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) the name of the other business: Insurance Sales; whether the business is investment-related: No; the address of the other business: 600 S. TYLER SUITE 1515 AMARILLO, TEXAS 79101; the nature of the other business, your position, title, or relationship with the other business: Licensed to sell FIXED INSURANCE AND ANNUITIES, INCLUDING EQUITY INDEXED ANNUITIES; the start date of your relationship: 2007; the approximate number of hours/month you devote to the other business: 2-10; the number of hours you devote to the other business during securities trading hours: 2-10; and briefly describe your duties relating to the other business: Insurance sales. || 2) the name of the other business: Sage Asset Management, LLC; whether the business is investment-related: Yes; the address of the other business: 600 S. TYLER SUITE 1515 AMARILLO, TEXAS 79101; the nature of the other business, your position, title, or relationship with the other business: Owner. Operates under Spring Capital Management and is the name under which advisory services are offered by Bob Rathbun; the start date of your relationship: 2010; the approximate number of hours/month you devote to the other business: all; the number of hours you devote to the other business during securities trading hours: All; and briefly describe your duties relating to the other business: Owner of LLC. 3. WTAMU College of Fine Arts and Humanities. Not Investment Related. 2501 4th Avenue, Canyon, TX 79015. University College. Advisory Board Member. 2015. 10 Hrs/Mo; 4 Hrs During Trading Hours. Advisory Board Member.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Paul Rathbun's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 18, 2017 - Present
SPRING CAPITAL MANAGEMENT
Office #1: 600 S. Tyler Suite 1515, Amarillo, TX 79101RIA
CRD#: 282842
Amarillo, TX
Current
February 24, 2014 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 600 S. Tyler Suite 1515, Amarillo, TX 79101BD
CRD#: 35747
Amarillo, TX
Past
May 3, 2010 - June 6, 2017
FORTITUDE ADVISORY GROUP L.L.C.
RIA
CRD#: 116083
GIG HARBOR, WA
Past
May 3, 2010 - February 28, 2014
ARGENTUS SECURITIES, LLC
BD
CRD#: 45915
AMARILLO, TX
Past
January 1, 2008 - May 5, 2010
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
AMARILLO, TX
Past
January 1, 2008 - May 5, 2010
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
AMARILLO, TX
Past
October 9, 2002 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
AMARILLO, TX
Past
July 15, 1986 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
AMARILLO, TX
Past
November 17, 1981 - July 31, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SC
SPRING CAPITAL MANAGEMENT
SAGE ASSET MANAGEMENT, LLC | SPRING CAPITAL MANAGEMENT, LLC | SPRING CAPITAL MANAGEMENT
CRD#: 282842 / SEC#: 801-119676
RIA
Registered Investment Advisory firm - (10/23/2020 Approved)Texas
Registered Investment Advisory firm - (10/26/2020 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/7/2022)
RR
California(2/24/2014)
RR
Colorado(2/24/2014)
RR
Montana(1/31/2022)
RR
Oregon(2/24/2014)
RR
Pennsylvania(3/22/2023)
RR
Tennessee(7/14/2025)
RR
Texas(2/24/2014)
IAR
Texas(2/18/2017)
RR
Washington(2/24/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 4/30/1992
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
SC
SPRING CAPITAL MANAGEMENT
SAGE ASSET MANAGEMENT, LLC | SPRING CAPITAL MANAGEMENT, LLC | SPRING CAPITAL MANAGEMENT
CRD#: 282842 / SEC#: 801-119676
RIA
Registered Investment Advisory firm - (10/23/2020 Approved)Texas
Registered Investment Advisory firm - (10/26/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
600 S. Tyler Suite 1515, Amarillo, TX 79101
Mailing Address
Phone number
(806) 322-5000
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 303 |
| AUM (Assets Under Management) | $ 214,379,993 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SPRING CAPITAL MANAGEMENT
CRD#: 282842Amarillo, TX 79101TRUST BUT VERIFY
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