Robert S. Gibb
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CRD#: 1513737
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 Smith Gibb III, CFP®, who also goes by Casey Gibb, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 62, Series 2 and Series 6 exams.
Biography
Casey Gibb is a Wealth Advisor and Managing Director of Financial Planning at H&A. He has spent more than two decades with H&A and specializes in retirement income planning. He works to develop and implement financial plans that are specific to each client, as well as to their unique goals and objectives.
Prior to his work at H&A, he had 10 years of financial advisory work experience with Pittsburgh-based Federated Investors.
Casey is a Certified Financial Planner (CFP®), a designation he has held since 1989. He is a graduate of Washington and Lee University, where he earned a Bachelor of Arts in Business and Economics.
Casey enjoys spending time with his family, indoor cycling, and improving his golf game. He spends a lot of his time with his dog, Beau, who enjoys taking Casey for walks.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Investment Planning
Retirement Planning
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
No
Aliases
Casey Gibb
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.
(1) 6/8/2011 - Hapanowicz & Associates Financial Services, Inc. - DBA: (HYB) H & A Retirement Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Time Spent 75%.
(2) 6/14/2012 - Hapanowicz & Associates Financial Services, Inc - DBA: (HYB) H & A Wealth Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Time Spent 75%.
(3) 6/25/2014 - HAPANOWICZ & ASSOCIATES FINANCIAL SERVICES, INC. - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS).
(4) 8/15/2014 - HAPANOWICZ & ASSOCIATES FINANCIAL SERVICES, INC. - Investment Related - At Reported Business Location(s) - REGISTERED INVESTMENT ADVISOR HYBRID - IAR.
(5) 9/16/2014 - HAPANOWICZ & ASSOCIATES FINANCIAL SERVICES - DBA: HAPANOWICZ & ASSOCIATES - Investment Related - At Reported Business Location(s) - REGISTERED INVESTMENT ADVISOR DBA - Started 09/15/2014 - 100 Hours Per Month During Securities Trading.
(6) 3/28/2018 - Hapanowicz & Associates Financial Services, Inc. - DBA: H&A Investment Management and Wealth Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 03/23/2018 - 150 Hours Per Month During Securities Trading - I provide investment advisory services through Hapanowicz & Associates Financial Services, Inc., an independent investment advisor firm. I started this business activity in March 2018. I expect to spend approximately 150 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
(7) 3/28/2018 - Hapanowicz & Associates Financial Services, Inc. - DBA: H & A Wealth Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 03/23/2018 - 40 Hours Per Month During Securities Trading - I provide investment advisory services through Hapanowicz & Associates Financial Services, Inc., an independent investment advisor firm. I started this business activity in March 2018. I expect to spend approximately 40 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
(8) 12/20/2018 - H&A Investment and Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 12/01/2018 - 150 Hours Per Month/7 Hours During Securities Trading.
(9) 2/1/2019 - Hapanowicz & Associates Financial Services, Inc. - DBA: Hapanowicz & Associates Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 02/01/2019 - 150 Hours Per Month/7 Hours During Securities Trading.
(10) 2/1/2019 - Hapanowicz & Associates Financial Services, Inc. - DBA: H&A Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 02/01/2019 - 150 Hours Per Month/7 Hours During Securities Trading.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1989
Experience
Past
June 2, 2011 - September 20, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
PITTSBURGH, PA
Past
May 19, 2011 - September 6, 2024
HAPANOWICZ FINANCIAL
RIA
CRD#: 157523
PITTSBURGH, PA
Past
January 20, 1998 - June 2, 2011
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
PITTSBURGH, PA
Past
June 26, 1997 - June 2, 2011
SECURITIES AMERICA, INC.
BD
CRD#: 10205
PITTSBURGH, PA
Past
September 23, 1996 - June 2, 1997
TRUSTMONT FINANCIAL GROUP, INC.
BD
CRD#: 18312
GREENSBURG, PA
Past
May 14, 1996 - September 3, 1996
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
April 24, 1995 - March 19, 1996
KEOGLER, MORGAN & COMPANY, INC.
BD
CRD#: 16546
ATLANTA, GA
Past
January 11, 1994 - April 27, 1995
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
Past
June 18, 1986 - January 11, 1994
FEDERATED SECURITIES CORP.
BD
CRD#: 5009
PITTSBURGH, PA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL
CRD#: 6413 / SEC#: 801-10970, 8-17668
RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 2/23/1998
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
RR
Series 2
Date: 2/14/1992
Non-Member General Securities ExaminationGeneral Industry/Product Exam
Current Firm
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL
CRD#: 6413 / SEC#: 801-10970, 8-17668
RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
California since 11/15/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
37,893
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.
