Robert J. Falvey

Some features on this profile are disabled

CRD#: 1926374

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 John Falvey was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1989. Robert had worked at 1 firm and has passed the Series 63, Series 7, Series 52 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

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®

None

Experience

Past

April 24, 1989 - July 7, 2014

SAGE, RUTTY & CO., INC.

CRD#: 3254

ROCHESTER, NY

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".

SAGE, RUTTY & CO., INC.

SAGE RUTTY TRUST | SAGE, RUTTY & CO., INC.

CRD#: 3254 / SEC#: 801-35917, 8-533

RIA

Registered Investment Advisory firm - SEC (1/26/1990 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/7/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/21/1990

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 3/2/1979

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 8/27/1984

Municipal Securities Principal Examination

Current Firm

SAGE, RUTTY & CO., INC.

SAGE RUTTY TRUST | SAGE, RUTTY & CO., INC.

CRD#: 3254 / SEC#: 801-35917, 8-533

RIA

Registered Investment Advisory firm - SEC (1/26/1990 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

100 Corporate Woods Suite 300, Rochester, NY 14623

Mailing Address

100 Corporate Woods Suite 300, Rochester, NY 14623

Phone number

(585) 232-3760

Established

New York since 02/11/1937

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (11 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE 08062025 (8/11/2025)

Direct owners and executive officers

Name	Position	CRD#
HOLLY, AUDREY WELLER	SHAREHOLDER
HOLLY, WAYNE FOSTER	EXECUTIVE CHAIRMAN, SHAREHOLDER, DIRECTOR	1019229
NUGENT, KIM LISBETH	SENIOR VICE PRESIDENT, FINANCIAL ADVISOR, SHAREHOLDER	4759283
PARKER, DOUGLAS EVANS III	DIRECTOR, SHAREHOLDER, FINANCIAL ADVISOR, SENIOR VICE PRESIDENT	1772713
HOLLY, TREVOR WILLIAM	PRESIDENT, CEO, SHAREHOLDER	6215542
BURKE, JAMES PAUL	SECRETARY, VICE PRESIDENT, SHAREHOLDER	2226672
CONWAY, CHELSEA LEIGH	DIRECTOR	7976777
DENNIS, CORINNE MARIE	CHIEF COMPLIANCE OFFICER	6454049
EHRLICH, CURT ALLEN	SENIOR VICE PRESIDENT, FINANCIAL ADVISOR, SHAREHOLDER	4659166
FALVEY, ROBERT JOHN	SHAREHOLDER (10/1996)	1926374
FROOD, LAURA SUZANNE	FINANCIAL ADVISOR, SHAREHOLDER	4211953
FROOD, NEIL STEWART III	FINANCIAL ADVISOR, DIRECTOR	4483525
HOLLY, CHRISTOPHER ROBERT	SHAREHOLDER	7993869
HOLLY, CONNOR B	FINANCIAL ADVISOR, SHAREHOLDER, FIRST VICE PRESIDENT	5887021
HOLLY, JARED FOSTER	SHAREHOLDER	7648569
HOLLY, JESSICA LAUREN	SHAREHOLDER	7656552
HOLLY, SEAN TYLER	SHAREHOLDER	7656542
HOLLY, SHANE ALEXANDER	SHAREHOLDER	7656553
LACEY, MATTHEW JAMES	CONTROLLER,TREASURER, FINOP, SHAREHOLDER	5299622
LOHWATER, ROBERT LAWRENCE	CORPORATE OFFICER	1232267
RALPH JOSEPH DANDREA	DIRECTOR
WEHNER, SANDRA JEAN	SHAREHOLDER	1472675

Regulatory assets under management

Total Number of Accounts	7,702
AUM (Assets Under Management)	$ 3,018,502,621

Disclosures

Regulatory Event	6
Arbitration	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/05/2025	Cover Page	Report
01/27/2025	Cover Page	Report
01/02/2024	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert J. Falvey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

Primary Firm SEC Registration

SAGE, RUTTY & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/7/1989

Series 7

Date: 4/21/1990

Series 52

Date: 3/2/1979

Series 53

Date: 8/27/1984

Current Firm

SAGE, RUTTY & CO., INC.

Contact information

SEC notice filing (11 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

SAGE, RUTTY & CO., INC.

TRUST BUT VERIFY

Similar Advisors