RD
Robert Dagosta
IBN FINANCIAL SERVICES
Center Valley, PA
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CRD#: 1903105
RD
Professional summary
Robert Dagosta is a registered financial advisor currently at IBN FINANCIAL SERVICES, INC. located in Center Valley, Pennsylvania.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Robert has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. ROBERT D'AGOSTA-N-BETHLEHEM, PA-FIXED INSURANCE-OWNER-3/1989-10-2-SALES OF FIXED INSURANCE PRODUCTS. 2. 350 WEST 57TH ST, APT 2A PARTNERSHIP-N-BETHLEHEM, PA-PARTNER-12/1985-1-0-PREPARES TAX RETURNS FOR PARTNERSHIP AND ASSISTS IN MAKING DECISIONS WITH OTHER PARTNERS. 3. R AND D INVESTORS, LLC-N-BETHLEHEM, PA-INVESTING IN AND MANAGING REAL ESTATE-LLC MEMBER-02/2009-5-0-INVESTING AND HELPING MANAGE THE PROCESS TO BUY/SELL/RENT REAL ESTATE. 5. Robert D'Agosta-N-Center Valley-Medicare Supplement insurance-owner-9/2016-2-0-sell medicare supplement plans. 6. 25 W 64th Street, Apt 2F-N-Center Valley, PA-Rental property-Co owner-06/2003-1-0-Reviews financials and complete tax documents.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Dagosta's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Dagosta'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®
NoneExperience
Current
August 21, 2019 - Present
IBN FINANCIAL SERVICES, INC.
RIA
BD
CRD#: 42360
Center Valley, PA
Current
August 12, 2019 - Present
IBN FINANCIAL SERVICES, INC.
Office #1: 404 Old Liverpool Rd, Liverpool, NY 13088RIA
BD
CRD#: 42360
Liverpool, NY
Past
August 4, 2004 - July 29, 2019
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
RIA
CRD#: 13609
CENTER VALLEY, PA
Past
August 2, 2004 - July 29, 2019
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
CENTER VALLEY, PA
Past
July 11, 2002 - August 3, 2004
MONY SECURITIES CORPORATION
RIA
CRD#: 4386
CENTER VALLEY, PA
Past
April 20, 1990 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
BD
CRD#: 2873
NEW YORK, NY
Past
April 20, 1990 - August 3, 2004
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
November 29, 1989 - March 5, 1990
MARTIN FINANCIAL PLANNING
BD
CRD#: 13254
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".
IF
IBN FINANCIAL SERVICES, INC.
IBN FINANCIAL SERVICES, INC | M. ROBERT BURTON ASSOCIATES, INC. | IBN FINANCIAL SERVICES, INC.
CRD#: 42360 / SEC#: 801-111848, 8-49815
RIA
Registered Investment Advisory firm - SEC (10/12/2017 Approved)Kentucky
Registered Investment Advisory firm - SEC (2/1/2018 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (2/1/2018 Terminated)New Jersey
Registered Investment Advisory firm - SEC (2/28/2018 Terminated)New York
Registered Investment Advisory firm - SEC (7/19/2021 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/12/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (2/5/2018 Terminated)Texas
Registered Investment Advisory firm - SEC (2/1/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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.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
Arizona(9/8/2021)
RR
California(10/28/2019)
RR
Delaware(12/12/2019)
RR
Florida(10/29/2019)
RR
Georgia(10/29/2019)
RR
Minnesota(10/28/2019)
RR
New Jersey(8/12/2019)
IAR
New Jersey(9/5/2019)
RR
New York(8/22/2019)
RR
Pennsylvania(8/20/2019)
RR
South Carolina(8/6/2021)
RR
Texas(8/12/2019)
RR
Wisconsin(2/2/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IF
IBN FINANCIAL SERVICES, INC.
IBN FINANCIAL SERVICES, INC | M. ROBERT BURTON ASSOCIATES, INC. | IBN FINANCIAL SERVICES, INC.
CRD#: 42360 / SEC#: 801-111848, 8-49815
RIA
Registered Investment Advisory firm - SEC (10/12/2017 Approved)Kentucky
Registered Investment Advisory firm - SEC (2/1/2018 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (2/1/2018 Terminated)New Jersey
Registered Investment Advisory firm - SEC (2/28/2018 Terminated)New York
Registered Investment Advisory firm - SEC (7/19/2021 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/12/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (2/5/2018 Terminated)Texas
Registered Investment Advisory firm - SEC (2/1/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
404 Old Liverpool Rd, Liverpool, NY 13088
Mailing Address
P.o. Box 2365, Liverpool, NY 13089
Phone number
(315) 652-4426
Established
New York since 12/15/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
79
SEC notice filing (18 States and Territories)
FINRA licenses (50 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 768 |
| AUM (Assets Under Management) | $ 180,458,175 |
Disclosures
| Regulatory Event | 9 |
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.
