Robert S. Whicker
SYM FINANCIAL ADVISORS
FORT WAYNE, IN 46804
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CRD#: 2262135
Professional summary
Robert Seth Whicker, CFP®, who also goes by Seth Whicker, is a registered financial advisor currently at SYM FINANCIAL ADVISORS located in Fort Wayne, Indiana.
Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Robert has worked at 4 firms and has passed the Series 63, Series 7 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Seth Whicker
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.
Business: Wells County EMS Foundation -
Investment-related: Yes -
Business Address: 223 W. Washington St. Suite 101, Bluffton, IN 46714 -
Nature of Business: Civic -
Position: Chairman , Board of Directors -
Start Date: 1/1/2015 -
Hours/Month: 5 hours/year -
Hours/Month During Securities Trading Hours: 0 hours/month -
Duties: Attend Board meetings.
Business: Huntington County Foundation -
Investment-related: Yes -
Business Address: 356 W. Park Dr., Huntington, IN 46750 -
Nature of Business: Charitable -
Position: Member, Board of Directors -
Start Date: 1/1/2017 -
Hours/Month: 20 hours/year -
Hours/Month During Securities Trading Hours: 0 hours/month -
Duties: Attends Board meetings and advises on grants.
Business: Fort Wayne Museum of Art -
Investment-related: Yes -
Business Address: 311 E. Main St., Fort Wayne, IN 46802 -
Nature of Business: Civic -
Position: Member, Board of Directors, Investment Committee -
Start Date: 1/1/2017 -
Hours/Month: 2 hours/quarter -
Hours/Month During Securities Trading Hours: 0 hours/month -
Duties: Attend board and committee meetings.
Business: The Wells County Foundation, Inc. -
Investment-related: Yes -
Business Address: 222 West Market Street, Bluffton, IN 46714 -
Nature of Business: Charitable -
Position: Member, Board of Directors, Finance Committee -
Start Date: 1/1/2021 -
Hours/Month: 3 hours/month -
Hours/Month During Securities Trading Hours: 1 hour/month -
Duties: Attend board and committee meetings.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Seth Whicker'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®
CFP®
Start date: 2010
Experience
Current
January 17, 2008 - Present
SYM FINANCIAL ADVISORS
Office #1: 7030 Pointe Inverness Way Suite 100, Fort Wayne, IN 46804RIA
CRD#: 107517
FORT WAYNE, IN
Past
December 9, 2002 - October 1, 2007
GALECKI FINANCIAL MANAGEMENT INC
RIA
CRD#: 107218
FORT WAYNE, IN
Past
December 1, 1993 - March 5, 1999
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
July 29, 1993 - November 9, 1993
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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".
SF
SYM FINANCIAL ADVISORS
SYM FINANCIAL ADVISORS | SYM FINANCIAL CORPORATION | SYM FINANCIAL CORP. DBA SYM FINANCIAL ADVISORS | SYM FINANCIAL CORP.
CRD#: 107517 / SEC#: 801-23944
RIA
Registered Investment Advisory firm - (5/15/1985 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
Indiana(1/17/2008)
Exams
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 3/21/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SF
SYM FINANCIAL ADVISORS
SYM FINANCIAL ADVISORS | SYM FINANCIAL CORPORATION | SYM FINANCIAL CORP. DBA SYM FINANCIAL ADVISORS | SYM FINANCIAL CORP.
CRD#: 107517 / SEC#: 801-23944
RIA
Registered Investment Advisory firm - (5/15/1985 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
801 Park Ave, Winona Lake, IN 46590
Mailing Address
Phone number
(800) 888-7968
Established
Firm type
Fiscal year end
# of Employees
74
SEC notice filing (23 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,993 |
| AUM (Assets Under Management) | $ 4,879,622,399 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/20/2024 | ||
| 06/29/2023 | ||
| 12/19/2022 |
Red Flags
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Company Information
SYM FINANCIAL ADVISORS
CRD#: 107517Fort Wayne, IN 46804TRUST BUT VERIFY
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