Robert Burrow
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 Burrow, CFP®, who also goes by Robert Thayne Burrow, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2000. Robert had worked at 11 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2023
Experience
December 1, 2017 - May 8, 2024
LPL FINANCIAL LLC
December 1, 2017 - May 8, 2024
LPL FINANCIAL LLC
June 29, 2015 - February 29, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 2, 2015 - February 29, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 10, 2014 - January 27, 2015
INVESTMENT PROFESSIONALS, INC.
November 10, 2014 - January 27, 2015
INVESTMENT PROFESSIONALS, INC.
September 27, 2013 - October 28, 2014
USAA INVESTMENT SERVICES COMPANY
September 26, 2013 - October 28, 2014
USAA FINANCIAL ADVISORS, INC.
April 19, 2012 - October 28, 2014
USAA INVESTMENT SERVICES COMPANY
February 22, 2012 - March 16, 2012
CHASE INVESTMENT SERVICES CORP.
June 7, 2011 - March 16, 2012
CHASE INVESTMENT SERVICES CORP.
February 1, 2007 - June 2, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 19, 2005 - February 1, 2007
ATLAS SECURITIES, LLC
May 11, 2004 - November 10, 2004
STERLING FINANCIAL INVESTMENT GROUP, INC.
August 28, 2001 - May 3, 2004
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 26, 2000 - April 6, 2001
FAS WEALTH MANAGEMENT SERVICES, INC.
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent 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.
