Robert F. Huston
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Frederick Huston, who also goes by Fred Huston, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1993. Robert had worked at 17 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2026 - April 23, 2026
LPL FINANCIAL LLC
March 4, 2026 - April 23, 2026
LPL FINANCIAL LLC
January 6, 2023 - November 19, 2024
BEACON CAPITAL MANAGEMENT, INC.
January 6, 2023 - November 19, 2024
SAMMONS FINANCIAL NETWORK, LLC
June 10, 2022 - October 17, 2022
OSAIC WEALTH, INC.
June 9, 2022 - October 17, 2022
OSAIC WEALTH, INC.
January 25, 2022 - May 18, 2022
EMPOWER FINANCIAL SERVICES, INC.
January 12, 2021 - January 19, 2022
PRUCO SECURITIES, LLC.
August 10, 2020 - January 19, 2022
PRUCO SECURITIES, LLC.
February 21, 2018 - August 28, 2018
DESTRA CAPITAL ADVISORS LLC
December 12, 2011 - August 28, 2018
DESTRA CAPITAL INVESTMENTS LLC
October 25, 2011 - December 8, 2011
INVEST FINANCIAL CORPORATION
April 30, 2007 - August 18, 2008
TD AMERITRADE, INC.
April 30, 2007 - August 18, 2008
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 23, 2007 - August 18, 2008
TD AMERITRADE, INC.
November 1, 2006 - April 3, 2007
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
October 20, 2006 - April 3, 2007
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 12, 2005 - October 13, 2006
INVESTACORP, INC.
June 7, 2004 - June 29, 2005
AMERIPRISE ADVISOR SERVICES, INC.
October 13, 2003 - June 29, 2005
AMERIPRISE ADVISOR SERVICES, INC.
August 6, 2001 - March 8, 2002
AMERIPRISE ADVISOR SERVICES, INC.
March 15, 2000 - January 31, 2001
VOYA INVESTMENTS DISTRIBUTOR, LLC
August 20, 1993 - February 25, 2000
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
