Robert C. Alston

QUADCAP WEALTH MANAGEMENT

FRISCO, TX 75034

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CRD#: 2480962

Professional summary

Robert Cecil Alston JR, who also goes by R Cecil Alston Jr, Rob Alston Jr, is a registered financial advisor currently at QUADCAP WEALTH MANAGEMENT, LLC located in Frisco, Texas.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Robert has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 24, Series 4 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

R Cecil Alston Jr | Rob Alston Jr

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 Cecil Alston JR'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

October 16, 2015 - Present

QUADCAP WEALTH MANAGEMENT, LLC

Office #1: 2600 Network Blvd Suite 300, Frisco, TX 75034

RIA

CRD#: 151490

FRISCO, TX

Past

March 19, 2014 - August 14, 2015

MULTI-BANK SECURITIES, INC.

CRD#: 22098

SOUTHFIELD, MI

Past

November 2, 2012 - March 17, 2014

BRAYMEN, LAMBERT AND NOEL SECURITIES, LTD.

CRD#: 124902

IRVING, TX

Past

October 10, 2011 - November 1, 2012

ITB SECURITIES, LLC

CRD#: 132665

NEW YORK, NY

Past

March 11, 2010 - October 17, 2011

BRAYMEN, LAMBERT AND NOEL SECURITIES, LTD.

CRD#: 124902

LOS ANGELES, CA

Past

July 11, 2005 - March 18, 2010

ADVISORS ASSET MANAGEMENT, INC.

RIA

CRD#: 46727

SAN DIEGO, CA

Past

July 11, 2005 - March 18, 2010

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727

SAN DIEGO, CA

Past

July 6, 2005 - July 13, 2005

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

CHICAGO, IL

Past

July 6, 2005 - July 13, 2005

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

September 30, 2002 - July 6, 2005

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

CHICAGO, IL

Past

April 17, 2002 - July 6, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

April 26, 1999 - September 13, 2000

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

August 21, 1997 - April 20, 1999

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

HOUSTON, TX

Past

September 12, 1996 - July 15, 1997

JOHN DAWSON & ASSOCIATES, INC.

CRD#: 6347

CHICAGO, IL

Past

August 6, 1996 - August 14, 1996

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

CRD#: 7404

NEW YORK, NY

Past

October 13, 1994 - August 19, 1996

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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".

QUADCAP WEALTH MANAGEMENT, LLC

CRD#: 151490 / SEC#: 801-79483

RIA

Registered Investment Advisory firm - (4/17/2014 Approved)

Louisiana

Registered Investment Advisory firm - (5/12/2014 Terminated)

Mississippi

Registered Investment Advisory firm - (5/8/2014 Terminated)

Texas

Registered Investment Advisory firm - (5/5/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Texas
(10/16/2015)

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 65

Date: 10/16/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/28/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/14/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 12/22/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 10/12/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/30/1999

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 7/28/1999

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 2/16/1995

Municipal Securities Principal Examination

Current Firm

QUADCAP WEALTH MANAGEMENT, LLC

CRD#: 151490 / SEC#: 801-79483

RIA

Registered Investment Advisory firm - (4/17/2014 Approved)

Louisiana

Registered Investment Advisory firm - (5/12/2014 Terminated)

Mississippi

Registered Investment Advisory firm - (5/8/2014 Terminated)

Texas

Registered Investment Advisory firm - (5/5/2014 Terminated)

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Contact information

Main Address

2600 Network Blvd Suite 300, Frisco, TX 75034

Mailing Address

Phone number

(972) 818-2400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - QUADCAP (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,764
AUM (Assets Under Management)	$ 1,136,687,690

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/28/2025	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.

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Robert C. Alston

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Cecil Alston JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

MULTI-BANK SECURITIES, INC.

BRAYMEN, LAMBERT AND NOEL SECURITIES, LTD.

ITB SECURITIES, LLC

BRAYMEN, LAMBERT AND NOEL SECURITIES, LTD.

ADVISORS ASSET MANAGEMENT, INC.

ADVISORS ASSET MANAGEMENT, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

INVESCO CAPITAL MARKETS, INC.

JOHN DAWSON & ASSOCIATES, INC.

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

QUADCAP WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/16/2015

Series 63

Date: 10/28/1994

SIE

Date: 8/14/2015

Series 55

Date: 12/22/1999

Series 7

Date: 10/12/1994

Series 24

Date: 9/30/1999

Series 4

Date: 7/28/1999

Series 53

Date: 2/16/1995

Current Firm

QUADCAP WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

QUADCAP WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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