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RF

Robert E. Faesy

FORTUNE FINANCIAL SERVICES
Frankfort, KY 40601
Some features on this profile are disabled
CRD#: 1790495
RF

Professional summary

Robert Emmett Faesy JR, who also goes by Bob Faesy, is a registered financial professional currently at FORTUNE FINANCIAL SERVICES, INC. located in Frankfort, Kentucky.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1988. Robert has worked at 4 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bob Faesy

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) - BD

Click below to view Robert Emmett Faesy JR's CRS (Customer Relationship Summary).
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

November 30, 2018 - Present

FORTUNE FINANCIAL SERVICES, INC.

Office #1: 1100 Us Highway 127 South Suite B-1, Frankfort, KY 40601
BD
CRD#: 42150
Frankfort, KY
Past

July 24, 2014 - December 4, 2018

SECURITIES AMERICA, INC.

BD
CRD#: 10205
FRANKFORT, KY
Past

March 29, 2007 - September 18, 2014

DALTON STRATEGIC INVESTMENT SERVICES INC.

BD
CRD#: 23485
FRANKFORT, KY
Past

September 18, 2002 - March 14, 2007

DALTON STRATEGIC INVESTMENT SERVICES INC.

BD
CRD#: 23485
FRANKFORT, KY
Past

February 22, 1988 - October 14, 2002

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
DALLAS, TX

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Colorado
(5/21/2025)
RR
Florida
(1/5/2022)
RR
Indiana
(12/6/2018)
RR
Kentucky
(11/30/2018)
RR
Ohio
(5/21/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 2/16/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 22
Date: 2/16/1988
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/13/1988
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FORTUNE FINANCIAL SERVICES, INC.
FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150 / SEC#: , 8-49727

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
3582 Brodhead Road Suite 202, Monaca, PA 15061
Mailing Address
P.o. Box 238, Monaca, PA 15061
Phone number
(724) 846-2488
Established
Pennsylvania since 10/21/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DANIELS, BLAKE WILLIAMCHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO1285106
DANIELS, BRIAN LEEOWNER1213561
BENTLEY, GREGORY JOHNPRESIDENT, CHIEF EXECUTIVE OFFICER705379
PINTARIC, WILLIAM RICHARD JRCHIEF COMPLIANCE OFFICER
WHITENACK, MITCH LEECHIEF OPERATIONS OFFICER, FINOP, PFO, POO4794021

Disclosures

Regulatory Event4

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

FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150Frankfort, KY 40601

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