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Robert R. Tweed
Some features on this profile are disabled
CRD#: 2339324
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Professional summary
Robert Russel Tweed was barred by the SEC 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 1993. Prior to being barred, Robert had worked at 13 firms, which includes CL WEALTH MANAGEMENT LLC, CABOT LODGE SECURITIES LLC, CONCORDE ASSET MANAGEMENT LLC, CONCORDE INVESTMENT SERVICES LLC, CAPWEST SECURITIES INC., MAM SECURITIES LLC, TWEED FINANCIAL SERVICES INC., UNITED SECURITIES ALLIANCE INC., NATIONAL PLANNING CORPORATION, TRANSAMERICA FINANCIAL ADVISORS LLC, LAGUNA SECURITIES INC., WEALTH RESOURCE CAPITAL CORPORATION, SECURITIES AMERICA INC..
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rusty Tweed
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.
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®
NoneExperience
Past
November 10, 2015 - December 19, 2019
CL WEALTH MANAGEMENT LLC
RIA
CRD#: 134922
San Marino, CA
Past
October 30, 2015 - December 11, 2019
CABOT LODGE SECURITIES LLC
BD
CRD#: 159712
San Marino, CA
Past
September 30, 2013 - November 9, 2015
CONCORDE ASSET MANAGEMENT, LLC
RIA
CRD#: 140367
SAN MARINO, CA
Past
August 10, 2011 - November 9, 2015
CONCORDE INVESTMENT SERVICES, LLC
BD
CRD#: 151604
SAN MARINO, CA
Past
April 6, 2011 - August 9, 2011
CAPWEST SECURITIES, INC.
RIA
CRD#: 30002
SAN MARINO, CA
Past
April 6, 2011 - August 9, 2011
CAPWEST SECURITIES, INC.
BD
CRD#: 30002
SAN MARINO, CA
Past
November 9, 2010 - April 7, 2011
MAM SECURITIES, LLC
RIA
CRD#: 124620
SHERMAN OAKS, CA
Past
August 26, 2010 - April 7, 2011
MAM SECURITIES, LLC
BD
CRD#: 124620
SHERMAN OAKS, CA
Past
February 12, 2007 - October 15, 2010
CAPWEST SECURITIES, INC.
RIA
CRD#: 30002
SAN MARINO, CA
Past
February 12, 2007 - October 15, 2010
CAPWEST SECURITIES, INC.
BD
CRD#: 30002
SAN MARINO, CA
Past
April 28, 2006 - April 30, 2015
TWEED FINANCIAL SERVICES, INC.
RIA
CRD#: 135352
SAN MARINO, CA
Past
February 4, 2005 - February 12, 2007
UNITED SECURITIES ALLIANCE, INC.
RIA
CRD#: 36487
SAN MARINO, CA
Past
February 4, 2005 - February 12, 2007
UNITED SECURITIES ALLIANCE, INC.
BD
CRD#: 36487
SAN MARINO, CA
Past
April 15, 1999 - January 19, 2005
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
SAN MARINO, CA
Past
February 22, 1999 - January 19, 2005
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, CA
Past
April 21, 1997 - February 22, 1999
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
August 1, 1995 - April 24, 1997
LAGUNA SECURITIES, INC.
BD
CRD#: 37547
NEWPORT BEACH, CA
Past
March 10, 1994 - August 1, 1995
WEALTH RESOURCE CAPITAL CORPORATION
BD
CRD#: 10367
NEWPORT BEACH, CA
Past
May 12, 1993 - March 15, 1994
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
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".
CW
CL WEALTH MANAGEMENT LLC
ALLIED BEACON WEALTH MANAGEMENT, LLC | WARNEFORD WEALTH MANAGEMENT, LLC | WADDELL WEALTH MANAGEMENT, LLC | URBAN WEALTH ADVISORS, LLC | TWEED FINANCIAL SERVICES, INC | STRATEGIC ADVANTAGE FINANCIAL | SCHULZ FINANCIAL MANAGEMENT | SAN MARINO INVESTMENT SERVICES | SABER WEALTH MANAGEMENT | RPG WEALTH MANAGEMENT, INC | RETIREMENT PLANNING STRATEGIES | PREMIER LEGACY WEALTH MANAGEMENT | PIVOTAL WEALTH MANAGEMENT | NEIGHBORHOOD FINANCIAL SOLUTIONS | MAROON WEALTH MANAGEMENT | LEADING EDGE FINANCIAL GROUP | INTEGRATED PLANNING ASSOCIATES, INC | HEART STRONG WEALTH PLANNING | HASZ FINANCIAL | GARDINER PRIVATE WEALTH MANAGEMENT | FUTURE MATTERS INC | FINGERLAKE SECURITIES, LLC | DOIRON WEALTH MANAGEMENT, LLC | DESTINY FINANCIAL SERVICES | CUPROSPER | CORNERSTONE WEALTH MANAGEMENT | CL WEALTH MANAGEMENT LLC | CENTURIAN WEALTH MANAGEMENT | CBS ADVISORS, LLC | C L WEALTH MANAGEMANT LLC | BRIDGEPORT INVESTMENTS,LLC | BESSETTE FINANCIAL SERVICES | BEACON FINANCIAL SERVICES
CRD#: 134922 / SEC#: 801-72701
RIA
Registered Investment Advisory firm - (10/4/2011 Approved)Arizona
Registered Investment Advisory firm - (12/31/2009 Terminated)Colorado
Registered Investment Advisory firm - (11/4/2011 Terminated)Connecticut
Registered Investment Advisory firm - (1/13/2012 Terminated)Florida
Registered Investment Advisory firm - (10/6/2011 Terminated)Georgia
Registered Investment Advisory firm - (10/12/2011 Terminated)Illinois
Registered Investment Advisory firm - (10/4/2011 Terminated)Iowa
Registered Investment Advisory firm - (10/6/2011 Terminated)Maryland
Registered Investment Advisory firm - (10/19/2011 Terminated)New Jersey
Registered Investment Advisory firm - (10/21/2011 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2010 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2009 Terminated)Virginia
Registered Investment Advisory firm - (10/17/2011 Terminated)West Virginia
Registered Investment Advisory firm - (10/6/2011 Terminated)Wisconsin
Registered Investment Advisory firm - (10/6/2011 Terminated)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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
CW
CL WEALTH MANAGEMENT LLC
ALLIED BEACON WEALTH MANAGEMENT, LLC | WARNEFORD WEALTH MANAGEMENT, LLC | WADDELL WEALTH MANAGEMENT, LLC | URBAN WEALTH ADVISORS, LLC | TWEED FINANCIAL SERVICES, INC | STRATEGIC ADVANTAGE FINANCIAL | SCHULZ FINANCIAL MANAGEMENT | SAN MARINO INVESTMENT SERVICES | SABER WEALTH MANAGEMENT | RPG WEALTH MANAGEMENT, INC | RETIREMENT PLANNING STRATEGIES | PREMIER LEGACY WEALTH MANAGEMENT | PIVOTAL WEALTH MANAGEMENT | NEIGHBORHOOD FINANCIAL SOLUTIONS | MAROON WEALTH MANAGEMENT | LEADING EDGE FINANCIAL GROUP | INTEGRATED PLANNING ASSOCIATES, INC | HEART STRONG WEALTH PLANNING | HASZ FINANCIAL | GARDINER PRIVATE WEALTH MANAGEMENT | FUTURE MATTERS INC | FINGERLAKE SECURITIES, LLC | DOIRON WEALTH MANAGEMENT, LLC | DESTINY FINANCIAL SERVICES | CUPROSPER | CORNERSTONE WEALTH MANAGEMENT | CL WEALTH MANAGEMENT LLC | CENTURIAN WEALTH MANAGEMENT | CBS ADVISORS, LLC | C L WEALTH MANAGEMANT LLC | BRIDGEPORT INVESTMENTS,LLC | BESSETTE FINANCIAL SERVICES | BEACON FINANCIAL SERVICES
CRD#: 134922 / SEC#: 801-72701
RIA
Registered Investment Advisory firm - (10/4/2011 Approved)Arizona
Registered Investment Advisory firm - (12/31/2009 Terminated)Colorado
Registered Investment Advisory firm - (11/4/2011 Terminated)Connecticut
Registered Investment Advisory firm - (1/13/2012 Terminated)Florida
Registered Investment Advisory firm - (10/6/2011 Terminated)Georgia
Registered Investment Advisory firm - (10/12/2011 Terminated)Illinois
Registered Investment Advisory firm - (10/4/2011 Terminated)Iowa
Registered Investment Advisory firm - (10/6/2011 Terminated)Maryland
Registered Investment Advisory firm - (10/19/2011 Terminated)New Jersey
Registered Investment Advisory firm - (10/21/2011 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2010 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2009 Terminated)Virginia
Registered Investment Advisory firm - (10/17/2011 Terminated)West Virginia
Registered Investment Advisory firm - (10/6/2011 Terminated)Wisconsin
Registered Investment Advisory firm - (10/6/2011 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
425 N. Martingale Rd. Suite 1220, Schaumburg, IL 60173
Mailing Address
Phone number
(212) 388-6200
Established
Firm type
Fiscal year end
# of Employees
42
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,073 |
| AUM (Assets Under Management) | $ 628,729,517 |
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.
