Robert P. Baffa

CUBED SYSTEMS

Las Vegas, NV

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CRD#: 2367531

Professional summary

Robert Patrick Baffa JR, AIF®, CFP® is a registered financial advisor currently at CUBED SYSTEMS located in Las Vegas, Nevada.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Robert has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 24 exams.

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.

(1) 08/18/2005: Cornerstone Global Wealth Management - DBA for LPL Business (entity for LPL business) - INV REL - At Reported Business Location(s) (2) 03/09/2010: No Business Name - Real Estate Rental - INV REL - At Reported Business Location(s) - one residential house, it will not be rented to a customer and I will notify you if I rent to an advisor of another BD - 1% Time Spent (3) 07/29/2015: CUBED Systems - Registered Investment Advisor Hybrid - DBA: (HYBRID) CUBED Systems - INV REL - At Reported Business Location(s) - Started 06/06/2015 - IAR - 40 Hr/Mo; 40 Hours During Securities Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Patrick Baffa JR'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Experience

Current

July 28, 2015 - Present

CUBED SYSTEMS

RIA

CRD#: 174967

Las Vegas, NV

Past

July 28, 2015 - December 31, 2018

CUBED SYSTEMS

RIA

CRD#: 174967

LAS VEGAS, NV

Past

August 18, 2005 - September 7, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

LAS VEGAS, NV

Past

August 18, 2005 - August 13, 2018

LPL FINANCIAL LLC

CRD#: 6413

LAS VEGAS, NV

Past

September 24, 2002 - August 29, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

LAS VEGAS, NV

Past

December 11, 2000 - August 29, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 20, 1994 - July 7, 1994

A. T. BROD & CO. INC.

CRD#: 1319

Past

August 6, 1993 - April 25, 1994

A. R. BARON & CO., INC.

CRD#: 29285

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

California
(1/31/2019)

IAR

Nevada
(7/28/2015)

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

IAR

Series 66

Date: 12/8/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/9/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/13/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/18/2000

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/13/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/14/2005

General Securities Principal Examination

Current Firm

CUBED SYSTEMS

BAFFA JR. ROBERT PATRICK | ROBERT PATRICK BAFFA JR. | ROBERT PATRICK BAFFA | CUBED SYSTEMS

CRD#: 174967 / SEC#:

California

Registered Investment Advisory firm - (1/31/2019 Approved)

Nevada

Registered Investment Advisory firm - (7/28/2015 Approved)

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Contact information

Main Address

Las Vegas, NV

Mailing Address

Phone number

(702) 272-1359

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	103
AUM (Assets Under Management)	$ 57,000,000

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.

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Robert P. Baffa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Patrick Baffa JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CUBED SYSTEMS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

A. T. BROD & CO. INC.

A. R. BARON & CO., INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/8/2000

Series 63

Date: 8/9/1993

SIE

Date: 8/13/2018

Series 31

Date: 12/18/2000

Series 7

Date: 11/13/2000

Series 24

Date: 10/14/2005

Current Firm

CUBED SYSTEMS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CUBED SYSTEMS

TRUST BUT VERIFY

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