Robert M. Conklin
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 Maxwell Conklin JR, who also goes by Bob Conklin, Robert Maxwell Conklin, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 12 firms and has passed the Series 65, Series 63 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
September 9, 2015 - November 30, 2015
SUCCESSFUL PORTFOLIOS LLC
March 2, 2010 - June 6, 2013
CONKLIN FINANCIAL SERVICES, INC
July 29, 2004 - November 30, 2005
INVESTACORP, INC.
August 2, 2002 - August 10, 2004
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 31, 2002 - August 10, 2004
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 17, 2001 - August 22, 2002
PRUDENTIAL EQUITY GROUP, LLC
January 17, 2001 - August 22, 2002
PRUDENTIAL EQUITY GROUP, LLC
May 9, 1997 - January 26, 2001
UBS FINANCIAL SERVICES INC.
July 31, 1993 - May 23, 1997
CITIGROUP GLOBAL MARKETS INC.
May 10, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
September 4, 1990 - May 18, 1993
UBS FINANCIAL SERVICES INC.
February 13, 1990 - September 17, 1990
FLAGSHIP SECURITIES, INC.
May 23, 1989 - March 6, 1990
GMS GROUP
February 9, 1989 - April 18, 1989
LPL FINANCIAL LLC
November 9, 1988 - February 28, 1989
INVESTACORP, INC.
March 10, 1987 - September 27, 1988
PEAK SECURITIES CORP.
Primary Firm SEC Registration
SUCCESSFUL PORTFOLIOS LLC
CRD#: 152429 / SEC#: 801-80702
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
SUCCESSFUL PORTFOLIOS LLC
CRD#: 152429 / SEC#: 801-80702
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 565 |
| AUM (Assets Under Management) | $ 242,679,271 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/22/2025 | ||
| 01/02/2025 | ||
| 10/30/2023 | ||
| 01/03/2023 |
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.
