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Robert M. Vance

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CRD#: 1887560
RV

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 Morgan Vance, CFP® was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1988. Robert had worked at 11 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 51 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
FIXED INSURANCE SALES, NOT INVESTMENT RELATED, 10 HOURS PER MONTH. LESS THAN $10,000.00 COMPENSATION. HEALTH INSURANCE AND LTC INSURANCE, NOT INVESTMENT RELATED. APPROXIMATELY 15/MONTH SPENT. LESS THEN $10,000.00 COMPENSATION. TAX PREPARATION FROM FEBRUARY-APRIL, 10 HOURS/MONTH, DURING BUSINESS HOURS. $5,000.00 COMPENSATION. TASC SECTION 105 PLANS. 1 HOUR OUTSIDE OF BUSINESS HOURS/MONTH. LESS THAN $500 COMPENSATION. ROBERT VANCE FIDUCIARY & TRUSTEE SERVICES - OWNER- FIDUCIARY, GUARDIANSHIP, CONSERVATORSHIPS & TRUSTEE SERVICES, COMPENSATION BY HOURLY FEES, HOURS AND COMPENSATION VARIES, IS INVESTMENT RELATED / TEACHER, COLUMBIA COLLEGE, 11600 COLUMBIA COLLEGE DR., SONORA, CA 95370, PART TIME, TEACHING CLASS IN SOCIAL SECURITY, MEDICARE AND GENERAL FINANCE, NO TIME IS DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS / BOARD MEMBER AND TWICE MONTHLY RADIO SHOW HOST, KAAD, LP, 103.5 FM, P.O. BOX 5287, SONORA, CA 95370, "VANCE ON FINANCE", INVESTMENT-RELATED, 12 HOURS/MO, SOME DURING SECURITIES TRADING HOURS / OWNER, ROBERT VANCE & ASSOCIATES, SOLE PROPRIETORSHIP FOR TAX PREPARATION ACTIVITIES, WRITING AND PUBLISHING, SOME TIME DURING TAX SEASON WILL BE DEVOTED DURING MARKET HOURS / EMERGEN-KEY LLC - CEO 100% OWNERSHIP - BOOK & PRODUCT SALES. START UP COMPANY. 14570 MONO WAY, SONORA, CA 95370. NO TIME IS DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS

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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®

Certified Financial Planner

Start date: 1991

Experience

Past

January 31, 2018 - December 31, 2018

VANCE CAPITAL MANAGEMENT, LLC

RIA
CRD#: 128678
SONORA, CA
Past

October 10, 2017 - November 15, 2023

MOLONEY SECURITIES ASSET MANAGEMENT LLC

RIA
CRD#: 282448
Sonora, CA
Past

June 15, 2016 - November 15, 2023

MOLONEY SECURITIES CO., INC.

BD
CRD#: 38535
Sonora, CA
Past

October 28, 2011 - May 31, 2016

RIDGEWAY & CONGER, INC.

BD
CRD#: 113055
NEW WOODSTOCK, NY
Past

April 10, 2007 - December 31, 2017

VANCE CAPITAL MANAGEMENT, LLC

RIA
CRD#: 128678
SONORA, CA
Past

August 1, 2003 - November 1, 2011

LEO BROKERAGE, LLC

BD
CRD#: 109121
SONORA, CA
Past

July 10, 2001 - August 1, 2003

WORLD CHOICE SECURITIES, INC.

BD
CRD#: 30933
COLUMBUS, OH
Past

July 25, 2000 - July 5, 2001

MACKEN SECURITIES, INC.

BD
CRD#: 13390
ROSEVILLE, CA
Past

May 5, 1998 - July 21, 2000

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

March 9, 1990 - May 6, 1998

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

March 9, 1990 - May 6, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

October 19, 1988 - July 17, 1989

DWS SECURITIES CORPORATION

BD
CRD#: 19478

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
RR
IAR
Series 66
Date: 7/6/1998
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 3/28/2003
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/6/1998
General Securities Principal Examination

Current Firm

VC
VANCE CAPITAL MANAGEMENT, LLC
VANCE CAPITAL MANAGEMENT | VANCE, ROBERT, MORGAN | VANCE CAPITAL MANAGMENT, LLC | VANCE CAPITAL MANAGEMENT, LLC

CRD#: 128678 / SEC#: 801-62944

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Contact information

Main Address
14570 Mono Way Suite A, Sonora, CA 95370
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

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

VANCE CAPITAL MANAGEMENT, LLC

CRD#: 128678

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