Robert P. Fairfield
Professional summary
Robert Philip Fairfield was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1972. Prior to being barred, Robert had worked at 10 firms, which includes MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, BILTMORE EQUITIES & SECURITIES LTD., WAINWRIGHT AUSTIN STONE & CO., MORGAN STANLEY DW INC., E. F. HUTTON & COMPANY INC, PRUDENTIAL EQUITY GROUP LLC, BACHE HALSEY STUART INC., HORNBLOWER & WEEKS - HEMPHILL NOYES INCORPORATED, MERRILL LYNCH PIERCE FENNER & SMITH INC., LINCOLN FINANCIAL DISTRIBUTORS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 1990 - March 9, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 29, 1989 - November 18, 1989
BILTMORE EQUITIES & SECURITIES, LTD.
June 26, 1989 - August 14, 1989
WAINWRIGHT, AUSTIN, STONE & CO.
January 24, 1985 - June 17, 1988
MORGAN STANLEY DW INC.
March 24, 1982 - January 11, 1985
E. F. HUTTON & COMPANY INC
September 16, 1977 - April 13, 1982
PRUDENTIAL EQUITY GROUP, LLC
March 9, 1977 - September 16, 1977
BACHE HALSEY STUART INC.
July 23, 1976 - May 4, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
August 22, 1972 - July 19, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
March 14, 1972 - May 13, 1972
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 6/13/1977
AMEX Put and Call ExamSeries 1
Date: 3/7/1972
Registered Representative ExaminationCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
