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Robert B. Fauntleroy

SOUTHSTATE ADVISORY
Richmond, VA 23219
Some features on this profile are disabled
CRD#: 2105777
RF

Professional summary

Robert Bolling Fauntleroy is a registered financial advisor currently at SOUTHSTATE ADVISORY, INC. located in Richmond, Virginia.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Robert has worked at 6 firms and has passed the Series 66, Series 65, Series 63 and Series 7 exams.

top-8-questions

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Bolling Fauntleroy'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

February 23, 2019 - Present

SOUTHSTATE ADVISORY, INC.

Office #1: 901 E. Cary Street, Richmond, VA 23219
RIA
CRD#: 153113
Richmond, VA
Past

February 5, 2004 - November 28, 2006

FIRST MARKET BANK FINANCIAL GUIDANCE GROUP

RIA
CRD#: 124948
RICHMOND, VA
Past

January 28, 2003 - August 17, 2005

FISERV INVESTOR SERVICES, INC.

BD
CRD#: 34637
HOUSTON, TX
Past

October 1, 1999 - June 27, 2001

WACHOVIA SECURITIES, INC.

BD
CRD#: 431
CHARLOTTE, NC
Past

July 28, 1999 - October 5, 1999

WACHOVIA BROKERAGE SERVICE

BD
CRD#: 17503
WINSTON SALEM, NC
Past

January 1, 1991 - August 2, 1995

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, 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".
SA
SOUTHSTATE ADVISORY, INC.
FIRST SOUTHEAST 401(K) FIDUCIARIES, INC. | SOUTHSTATE WEALTH | SOUTHSTATE RETIREMENT PLAN SERVICES | SOUTHSTATE ADVISORY, INC. | SOUTH STATE ADVISORY, INC. | MINIS AND COMPANY

CRD#: 153113 / SEC#: 801-71264

RIA
Registered Investment Advisory firm - (4/7/2010 Approved)

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.

Highlighted states indicate IAR registrations

IAR
Virginia
(2/23/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/26/1999
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 6/16/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/9/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/26/1999
General Securities Representative Examination

Current Firm

SA
SOUTHSTATE ADVISORY, INC.
FIRST SOUTHEAST 401(K) FIDUCIARIES, INC. | SOUTHSTATE WEALTH | SOUTHSTATE RETIREMENT PLAN SERVICES | SOUTHSTATE ADVISORY, INC. | SOUTH STATE ADVISORY, INC. | MINIS AND COMPANY

CRD#: 153113 / SEC#: 801-71264

RIA
Registered Investment Advisory firm - (4/7/2010 Approved)
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Contact information

Main Address
520 Gervais St, Columbia, SC 29201
Mailing Address
Phone number
(803) 231-3492
Established
Firm type
Fiscal year end
# of Employees
22

SEC notice filing (7 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SOUTH STATE ADVISORY, INC. ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts441
AUM (Assets Under Management)$ 3,783,729,428

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/27/2025
Cover Page
Report
01/26/2024
Cover Page
Report
03/30/2023
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.

Company Information

SOUTHSTATE ADVISORY, INC.

CRD#: 153113Richmond, VA 23219

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