Robert Paul Rathbun
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,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Robert P Rathbun
Similar Advisors
CSENGE ADVISORY GROUP, LLC
MAXIAM CAPITAL, LLC
OSAIC WEALTH, INC.
CONVERGENT FINANCIAL GROUP
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
CSENGE ADVISORY GROUP, LLC
MAXIAM CAPITAL, LLC
OSAIC WEALTH, INC.
CONVERGENT FINANCIAL GROUP
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
CSENGE ADVISORY GROUP, LLC
MAXIAM CAPITAL, LLC
OSAIC WEALTH, INC.
CONVERGENT FINANCIAL GROUP
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
Similar Advisors
CSENGE ADVISORY GROUP, LLC
MAXIAM CAPITAL, LLC
OSAIC WEALTH, INC.
CONVERGENT FINANCIAL GROUP
Years of Experience
45 years in the financial services industry
Current & Past Employments
Similar Advisors
CSENGE ADVISORY GROUP, LLC
MAXIAM CAPITAL, LLC
OSAIC WEALTH, INC.
CONVERGENT FINANCIAL GROUP
Current Firm
SAGE ASSET MANAGEMENT, LLC | SPRING CAPITAL MANAGEMENT, LLC | SPRING CAPITAL MANAGEMENT
Contact Information
Main Address
600 S. Tyler Suite 1515, Amarillo, TX 79101Phone Number
(806) 322-5000# of Employees
2SEC notice filing (1 States and Territories)
Registered to provide investment advisory services in 1 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
316AUM (Assets Under Management)
$223,042,193Similar Advisors
CSENGE ADVISORY GROUP, LLC
MAXIAM CAPITAL, LLC
OSAIC WEALTH, INC.
CONVERGENT FINANCIAL GROUP
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.
Similar Advisors
CSENGE ADVISORY GROUP, LLC
MAXIAM CAPITAL, LLC
OSAIC WEALTH, INC.
CONVERGENT FINANCIAL GROUP
Primary Firm SEC Registration
SAGE ASSET MANAGEMENT, LLC | SPRING CAPITAL MANAGEMENT, LLC | SPRING CAPITAL MANAGEMENT
State Registrations and Notice Filings
(1/7/2022)
(2/24/2014)
(2/24/2014)
(1/31/2022)
(2/24/2014)
(2/24/2014)
(2/18/2017)
(2/24/2014)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Apr 1992SRO Registrations
Similar Advisors
CSENGE ADVISORY GROUP, LLC
MAXIAM CAPITAL, LLC
OSAIC WEALTH, INC.
CONVERGENT FINANCIAL GROUP
CRS (Client Relationship Summary) - RIA
Click below to view Robert Paul Rathbun's CRS (Customer Relationship Summary).
Similar Advisors
CSENGE ADVISORY GROUP, LLC
MAXIAM CAPITAL, LLC
OSAIC WEALTH, INC.
CONVERGENT FINANCIAL GROUP
