Rob V. Fiser
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Rob Vernon Fiser JR, who also goes by Rob Vernon (jr) Fiser, was a registered financial professional .
Rob is a previously registered financial professional and started their career in finance in 1982. Rob had worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2015 - March 17, 2019
REDWOOD WEALTH MANAGEMENT, LLC
September 17, 2010 - February 9, 2015
LPL FINANCIAL LLC
September 17, 2010 - February 9, 2015
LPL FINANCIAL LLC
January 30, 2009 - September 23, 2010
PARK AVENUE SECURITIES LLC
December 11, 2008 - September 23, 2010
PARK AVENUE SECURITIES LLC
January 1, 2008 - December 3, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - December 3, 2008
WELLS FARGO CLEARING SERVICES, LLC
March 22, 2005 - January 1, 2008
A. G. EDWARDS & SONS, INC.
August 27, 1999 - January 3, 2008
A. G. EDWARDS & SONS, INC.
November 18, 1994 - September 8, 1999
WACHOVIA SECURITIES, INC.
October 16, 1990 - December 3, 1994
PRUDENTIAL EQUITY GROUP, LLC
February 20, 1982 - October 25, 1990
WACHOVIA SECURITIES, INC.
Primary Firm SEC Registration
REDWOOD WEALTH MANAGEMENT, LLC
CRD#: 173916 / SEC#: 801-117866
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
REDWOOD WEALTH MANAGEMENT, LLC
CRD#: 173916 / SEC#: 801-117866
Contact information
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 434 |
| AUM (Assets Under Management) | $ 493,000,000 |
Red Flags
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.
