Robert S. Gathman
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.
Robert Stephen Gathman, who also goes by II Robert Stephen Gathman, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 7 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2022 - December 19, 2022
LPL FINANCIAL LLC
January 3, 2022 - December 19, 2022
LPL FINANCIAL LLC
November 2, 2018 - December 31, 2021
OSAIC WEALTH, INC.
November 2, 2018 - December 31, 2021
OSAIC WEALTH, INC.
May 13, 2016 - November 2, 2018
SIGNATOR INVESTORS, INC.
May 13, 2016 - November 2, 2018
SIGNATOR INVESTORS, INC.
September 4, 2009 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 4, 2009 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 14, 2005 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
January 6, 2004 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
July 29, 1998 - December 31, 2003
DEMPSEY FINANCIAL NETWORK, INC.
April 29, 1983 - August 4, 1998
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
