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RH

Robert J. Halldin

VESTECH ASSET MANAGEMENT
Bonita Springs, FL
Some features on this profile are disabled
CRD#: 1458098
RH

Professional summary

Robert James Halldin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Prior to being barred, Robert has worked at 16 firms, which includes AMERICAN PORTFOLIOS ADVISORS INC, AMERICAN PORTFOLIOS FINANCIAL SERVICES INC., PACIFIC WEST FINANCIAL CONSULTANTS INC, PACIFIC WEST SECURITIES INC., BANC OF AMERICA INVESTMENT SERVICES INC., BANCNORTH INVESTMENT GROUP INC., CETERA INVESTMENT SERVICES LLC, NATIONAL PLANNING CORPORATION, WEBSTER INVESTMENT SERVICES INC., MECHANICS INVESTMENT SERVICES INC., APEX CLEARING CORPORATION, INTESA SANPAOLO IMI SECURITIES CORP., MABON NUGENT & CO., INVEST FINANCIAL CORPORATION, MORGAN STANLEY DW INC..

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Bob Halldin

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert James Halldin's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 8, 2017 - Present

VESTECH ASSET MANAGEMENT INC.

RIA
CRD#: 285685
Bonita Springs, FL
Past

February 28, 2012 - July 6, 2017

AMERICAN PORTFOLIOS ADVISORS, INC

RIA
CRD#: 112697
HOLBROOK, NY
Past

February 28, 2012 - July 6, 2017

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

BD
CRD#: 18487
Newington, CT
Past

August 3, 2009 - February 15, 2012

PACIFIC WEST FINANCIAL CONSULTANTS INC

RIA
CRD#: 108728
RENTON, WA
Past

July 31, 2009 - February 15, 2012

PACIFIC WEST SECURITIES, INC.

BD
CRD#: 6390
WINDSOR, CT
Past

November 10, 2005 - August 3, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
WEST HARTFORD, CT
Past

November 10, 2005 - August 3, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
WEST HARTFORD, CT
Past

January 1, 2005 - November 11, 2005

BANCNORTH INVESTMENT GROUP, INC.

BD
CRD#: 31299
ST. CLOUD, MN
Past

March 4, 2003 - November 11, 2005

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
NEWINGTON, CT
Past

March 4, 2003 - January 1, 2005

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
ST. CLOUD, MN
Past

August 23, 2000 - March 6, 2003

NATIONAL PLANNING CORPORATION

RIA
CRD#: 29604
NEWINGTON, CA
Past

August 23, 2000 - March 6, 2003

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
LOS ANGELES, CA
Past

June 26, 2000 - August 28, 2000

WEBSTER INVESTMENT SERVICES, INC.

BD
CRD#: 46588
KENSINGTON, CT
Past

June 30, 1997 - June 23, 2000

MECHANICS INVESTMENT SERVICES, INC.

BD
CRD#: 42738
HARTFORD, CT
Past

December 12, 1994 - July 17, 1997

APEX CLEARING CORPORATION

BD
CRD#: 13071
DALLAS, TX
Past

April 30, 1991 - December 13, 1994

INTESA SANPAOLO IMI SECURITIES CORP.

BD
CRD#: 19418
NEW YORK, NY
Past

June 13, 1988 - April 30, 1991

MABON, NUGENT & CO.

BD
CRD#: 2617
Past

November 24, 1987 - June 14, 1988

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
Past

March 19, 1986 - November 20, 1987

MORGAN STANLEY DW INC.

BD
CRD#: 7556

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Connecticut
(8/8/2017)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/26/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/26/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/6/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/15/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/7/1995
General Securities Principal Examination

Current Firm

VA
VESTECH ASSET MANAGEMENT INC.
MAENDEL WEALTH | VESTECH ASSET MANAGEMENT INC. | ROYAL CROWN WEALTH MANAGEMENT | MEYER FINANCIAL GROUP

CRD#: 285685 / SEC#:

Connecticut
Registered Investment Advisory firm - (8/8/2017 Approved)
Illinois
Registered Investment Advisory firm - (6/18/2020 Approved)
Kansas
Registered Investment Advisory firm - (6/9/2017 Approved)
Michigan
Registered Investment Advisory firm - (12/2/2016 Approved)
Missouri
Registered Investment Advisory firm - (6/8/2017 Approved)
North Carolina
Registered Investment Advisory firm - (9/21/2017 Approved)
Pennsylvania
Registered Investment Advisory firm - (9/21/2018 Approved)
Texas
Registered Investment Advisory firm - (12/3/2018 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
11477 Olde Cabin Road Suite 310, Saint Louis, MO 63141
Mailing Address
Phone number
(314) 828-2111
Established
Firm type
Fiscal year end
# of Employees
14

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts270
AUM (Assets Under Management)$ 100,032,281

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.

Company Information

VESTECH ASSET MANAGEMENT INC.

CRD#: 285685Bonita Springs, FL

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