RA
Robert C. Aiken
Some features on this profile are disabled
CRD#: 2539908
RA
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 Clifton Aiken, who also goes by Cliff Aiken, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1994. Robert had worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Cliff Aiken
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
May 17, 2019 - November 3, 2023
PRIVATE ADVISOR GROUP, LLC
RIA
CRD#: 155216
Port Charlotte, FL
Past
November 20, 2015 - May 2, 2019
INDEPENDENT FINANCIAL PARTNERS
RIA
CRD#: 125112
Port Charlotte, FL
Past
November 11, 2015 - June 12, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
PUNTA GORDA, FL
Past
March 5, 2015 - October 29, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
TAMPA, FL
Past
March 3, 2015 - October 29, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
TAMPA, FL
Past
September 15, 2014 - February 12, 2015
KINETIC FINANCIAL ADVISORS, LLC
RIA
CRD#: 156870
SARASOTA, FL
Past
August 27, 2012 - September 23, 2014
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
BRADENTON, FL
Past
August 20, 2012 - September 23, 2014
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
BRADENTON, FL
Past
June 19, 2012 - August 23, 2012
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
SARASOTA, FL
Past
June 18, 2012 - August 23, 2012
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SARASOTA, FL
Past
November 29, 2006 - May 1, 2012
BB&T INVESTMENT SERVICES, INC.
RIA
CRD#: 33856
SARASOTA, FL
Past
June 13, 2006 - May 1, 2012
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
SARASOTA, FL
Past
April 26, 2004 - May 15, 2006
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
CHRISTIANSBURG, VA
Past
March 5, 2002 - December 6, 2002
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
March 5, 2002 - December 6, 2002
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
December 13, 2000 - January 17, 2002
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHARLOTTE, NC
Past
August 16, 2000 - December 19, 2000
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
LYNNFIELD, MA
Past
June 23, 1998 - May 27, 1999
WACHOVIA BROKERAGE SERVICE
BD
CRD#: 17503
WINSTON SALEM, NC
Past
October 8, 1997 - June 25, 1998
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
September 11, 1995 - October 9, 1996
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
September 11, 1995 - October 9, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
December 9, 1994 - August 22, 1995
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
December 9, 1994 - August 22, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
PA
PRIVATE ADVISOR GROUP, LLC
1406 FINANCIAL | DFS ASSOCIATES INC. | DEROSIER AND ASSOCIATES | DEMPSEY & DRUMM | DELISANTI WEALTH MANAGEMENT | DEHAAN LINDSEY WEALTH MANAGEMENT | DCA FINANCIAL GROUP | DAVID M. CROOKS AND ASSOCIATES, LLC | DANIEL M ROSENTHAL FINANCIAL CONSULTANT | D.M. WALLACE & CO. | CYPRESS WEALTH PARTNERS, LLC | CUNNINGHAM WEALTH MANAGEMENT | CROSSROADS FINANCIAL | CRNA FINANCIAL PLANNING | CRESTWOOD FINANCIAL PARTNERS | CRESTWELL FINANCIAL PARTNERS | COX WEALTH MANAGEMENT | COVENANT FINANCIAL STRATEGIES INC. | COTTON WEALTH MANAGEMENT ASSOCIATES, LLC | CORTBURG RETIREMENT PLANNING | CORTBURG RETIREMENT ADVISORS, INC. | CORRIDOR FINANCIAL PLANNER | CORNERSTONE FINANCIAL | CORETEGIC CAPITAL | COPPOLA WEALTH MANAGEMENT | COPIA WEALTH ADVISORS | CONNECTIONS FINANCIAL ADVISORS | CONNECTICUT CASUALTY WEALTH PARTNERS | COMPREHENSIVE WEALTH MANAGEMENT INC | COMPREHENSIVE WEALTH MANAGEMENT GROUP | COMPREHENSIVE FINANCIAL PROFESSIONALS, INC. | COMPASS INVESTMENT ADVISORS LLC | COMPASS FINANCIAL GROUP, INC. | COMPASS CAPITAL MANAGEMENT | COMMONWEALTH PENSION MANAGEMENT, LLC | COMMONWEALTH INVESTMENT MANAGEMENT GROUP, LLC | COLTS NECK FINANCIAL | CODREA FINANCIAL SERVICES | CLINTON WEALTH MANAGEMENT LLC | CLIENT FIRST.FINANCIAL ADVICE | CLIENT FIRST FINANCIAL ADVICE | CLEARVIEW INVESTMENT PARTNERS | CLEARPOINT ADVISORS, LLC | CLEARPATH FINANCIAL PARTNERS | CLEAR SKIES FINANCIAL | CKW WEALTH ADVISORS, LLC | CISSNE WEALTH MANAGEMENT | CHOICEPOINT FINANCIAL LLC | CHOICE POINT ADVISORS, LLC | CHADWICK BAY FINANCIAL SERVICES | CE FINANCIAL | CBC FINANCIAL ADVISORS | CAVAN WEALTH MANAGEMENT, LLC | CARTER SHEVLIN FINANCIAL | CARR FINANCIAL GROUP | CARDINAL WEALTH PARTNERS | CARDINAL WEALTH GROUP | CAPWEALTH | CAPSTONE WEALTH MANAGEMENT, LLC | CAPRIOTTI & COMPANY | CAPITAL WEALTH COUNSEL | CAPITAL PLANNING WEALTH MANAGEMENT | CANOGA WEALTH MANAGEMENT, LLC | CAFOUREK FINANCIAL SERVICES | CAFOUREK AND ASSOC. | CADIA PRIVATE CLIENT | BYAS WEALTH MANAGEMENT | BUTLER FINANCIAL GROUP | BUTERA WEALTH MANAGEMENT LLC | BROOKWOOD ADVISORS | BROADWAY GRAHAM WEALTH PARTNERS | BRIGHTWORKS WEALTH MANAGEMENT | BRIGHTSIDE ADVISORS | BRIAN WETTLAUFER INVESTMENT MANAGEMENT INC | BRIAN WETTLAUFER INVESTMENT ADVICE | BRENTON STRANSKY WEALTH MANAGEMENT | BREAKWATER WEALTH MANAGEMENT | BRANDYWINE WEALTH MANAGEMENT | BOTKIN FAMILY WEALTH MANAGEMENT | BOOKMARK ADVISORS | BONNIE CAPITAL | BOHALL FINANCIAL GROUP | BLUE WATER FINANCIAL LLC | BLUE SPARROW GROUP | BLEAKLEY FINANCIAL GROUP | BLEAKLEY ADVISORY GROUP | BLEAKLEY WEALTH MANAGEMENT | BLEAKLEY WEALTH ADVISORS | BLACKSTONE VALLEY WEALTH MANAGEMENT, LLC | BLACK DIAMOND FINANCIAL GROUP, LLC | BINGHAMTON FINANCIAL GROUP | BIG TREE INVESTMENT GROUP | BG WEALTH MANAGEMENT | BERKSHIRE RETIREMENT STRATEGIES | BECKER FINANCIAL ADVISORS | BECK BODE WEALTH MANAGEMENT | BEASLEY WEALTH MANAGEMENT | BD & ASSOCIATES | BCG FINANCIAL SERVICES LTD | BAYVIEW FINANCIAL GROUP | BATTAGLINI & CO., PC | BARBER FINANCIAL MANAGEMENT, LLC | BALLAST FINANCIAL, LLC | BADGER FINANCIAL GROUP | B. JOHNSON & ASSOC., LTD. | AWA INVESTMENT ADVISORS | AUDENT GLOBAL ASSET MANAGEMENT | AUDENT FAMILY WEALTH ADVISORS LLC | ATTLEBORO WEALTH MANAGEMENT | ATLAS WEALTH STRATEGIES | ATLANTIC WEALTH LLC | ASCENT WEALTH MANAGEMENT | ARTEMIS WEALTH ADVISORS | ARONOV WEALTH MANAGEMENT | ARISTON ADVISORY GROUP, LLC | ARETI FINANCIAL, INC | ARCURI ASSOCIATES WEALTH MANAGEMENT | ARCURI & ASSOCIATES | APEX FINANCIAL PLANNING | APD WEALTH MANAGEMENT, LLC | ANTOINE WILLIAMS & ASSOCIATES FINANCIAL SERVICES | ANGELO & ASSOCIATES FINANCIAL PLANNING GROUP | ANDERSON SCHWARZ FINANCIAL LTD | ANDERSON FINANCIAL LTD | ANCHOR FINANCIAL ASSOCIATES, LLC | AMERICAN FINANCIAL MANAGEMENT GROUP | ALPERT FINANCIAL | ALNA FINANCIAL GROUP LLC | ALMANZA WEALTH MANAGEMENT | ALLEGIANCE FINANCIAL GROUP | ALBANY FINANCIAL GROUP | AK FINANCIAL GROUP | AGING ISSUES MANAGEMENT | AGING ISSUES INFO | ADVANTAGE INVESTMENT ADVISORS | ADVANTAGE FINANCIAL GROUP | ADVANCED WEALTH ADVISORY, LLC | ACUMEN WEALTH ADVISORS | ABM FINANCIAL LLC | ABILITY WEALTH GROUP, LLC | A&C MANAGEMENT GROUP | 54 FINANCIAL GROUP | 435 FINANCIAL | 20/20 FINANCIAL...
CRD#: 155216 / SEC#: 801-72060
RIA
Registered Investment Advisory firm - (1/3/2011 Approved)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
Principal/Supervisory Exam
Current Firm
PA
PRIVATE ADVISOR GROUP, LLC
1406 FINANCIAL | DFS ASSOCIATES INC. | DEROSIER AND ASSOCIATES | DEMPSEY & DRUMM | DELISANTI WEALTH MANAGEMENT | DEHAAN LINDSEY WEALTH MANAGEMENT | DCA FINANCIAL GROUP | DAVID M. CROOKS AND ASSOCIATES, LLC | DANIEL M ROSENTHAL FINANCIAL CONSULTANT | D.M. WALLACE & CO. | CYPRESS WEALTH PARTNERS, LLC | CUNNINGHAM WEALTH MANAGEMENT | CROSSROADS FINANCIAL | CRNA FINANCIAL PLANNING | CRESTWOOD FINANCIAL PARTNERS | CRESTWELL FINANCIAL PARTNERS | COX WEALTH MANAGEMENT | COVENANT FINANCIAL STRATEGIES INC. | COTTON WEALTH MANAGEMENT ASSOCIATES, LLC | CORTBURG RETIREMENT PLANNING | CORTBURG RETIREMENT ADVISORS, INC. | CORRIDOR FINANCIAL PLANNER | CORNERSTONE FINANCIAL | CORETEGIC CAPITAL | COPPOLA WEALTH MANAGEMENT | COPIA WEALTH ADVISORS | CONNECTIONS FINANCIAL ADVISORS | CONNECTICUT CASUALTY WEALTH PARTNERS | COMPREHENSIVE WEALTH MANAGEMENT INC | COMPREHENSIVE WEALTH MANAGEMENT GROUP | COMPREHENSIVE FINANCIAL PROFESSIONALS, INC. | COMPASS INVESTMENT ADVISORS LLC | COMPASS FINANCIAL GROUP, INC. | COMPASS CAPITAL MANAGEMENT | COMMONWEALTH PENSION MANAGEMENT, LLC | COMMONWEALTH INVESTMENT MANAGEMENT GROUP, LLC | COLTS NECK FINANCIAL | CODREA FINANCIAL SERVICES | CLINTON WEALTH MANAGEMENT LLC | CLIENT FIRST.FINANCIAL ADVICE | CLIENT FIRST FINANCIAL ADVICE | CLEARVIEW INVESTMENT PARTNERS | CLEARPOINT ADVISORS, LLC | CLEARPATH FINANCIAL PARTNERS | CLEAR SKIES FINANCIAL | CKW WEALTH ADVISORS, LLC | CISSNE WEALTH MANAGEMENT | CHOICEPOINT FINANCIAL LLC | CHOICE POINT ADVISORS, LLC | CHADWICK BAY FINANCIAL SERVICES | CE FINANCIAL | CBC FINANCIAL ADVISORS | CAVAN WEALTH MANAGEMENT, LLC | CARTER SHEVLIN FINANCIAL | CARR FINANCIAL GROUP | CARDINAL WEALTH PARTNERS | CARDINAL WEALTH GROUP | CAPWEALTH | CAPSTONE WEALTH MANAGEMENT, LLC | CAPRIOTTI & COMPANY | CAPITAL WEALTH COUNSEL | CAPITAL PLANNING WEALTH MANAGEMENT | CANOGA WEALTH MANAGEMENT, LLC | CAFOUREK FINANCIAL SERVICES | CAFOUREK AND ASSOC. | CADIA PRIVATE CLIENT | BYAS WEALTH MANAGEMENT | BUTLER FINANCIAL GROUP | BUTERA WEALTH MANAGEMENT LLC | BROOKWOOD ADVISORS | BROADWAY GRAHAM WEALTH PARTNERS | BRIGHTWORKS WEALTH MANAGEMENT | BRIGHTSIDE ADVISORS | BRIAN WETTLAUFER INVESTMENT MANAGEMENT INC | BRIAN WETTLAUFER INVESTMENT ADVICE | BRENTON STRANSKY WEALTH MANAGEMENT | BREAKWATER WEALTH MANAGEMENT | BRANDYWINE WEALTH MANAGEMENT | BOTKIN FAMILY WEALTH MANAGEMENT | BOOKMARK ADVISORS | BONNIE CAPITAL | BOHALL FINANCIAL GROUP | BLUE WATER FINANCIAL LLC | BLUE SPARROW GROUP | BLEAKLEY FINANCIAL GROUP | BLEAKLEY ADVISORY GROUP | BLEAKLEY WEALTH MANAGEMENT | BLEAKLEY WEALTH ADVISORS | BLACKSTONE VALLEY WEALTH MANAGEMENT, LLC | BLACK DIAMOND FINANCIAL GROUP, LLC | BINGHAMTON FINANCIAL GROUP | BIG TREE INVESTMENT GROUP | BG WEALTH MANAGEMENT | BERKSHIRE RETIREMENT STRATEGIES | BECKER FINANCIAL ADVISORS | BECK BODE WEALTH MANAGEMENT | BEASLEY WEALTH MANAGEMENT | BD & ASSOCIATES | BCG FINANCIAL SERVICES LTD | BAYVIEW FINANCIAL GROUP | BATTAGLINI & CO., PC | BARBER FINANCIAL MANAGEMENT, LLC | BALLAST FINANCIAL, LLC | BADGER FINANCIAL GROUP | B. JOHNSON & ASSOC., LTD. | AWA INVESTMENT ADVISORS | AUDENT GLOBAL ASSET MANAGEMENT | AUDENT FAMILY WEALTH ADVISORS LLC | ATTLEBORO WEALTH MANAGEMENT | ATLAS WEALTH STRATEGIES | ATLANTIC WEALTH LLC | ASCENT WEALTH MANAGEMENT | ARTEMIS WEALTH ADVISORS | ARONOV WEALTH MANAGEMENT | ARISTON ADVISORY GROUP, LLC | ARETI FINANCIAL, INC | ARCURI ASSOCIATES WEALTH MANAGEMENT | ARCURI & ASSOCIATES | APEX FINANCIAL PLANNING | APD WEALTH MANAGEMENT, LLC | ANTOINE WILLIAMS & ASSOCIATES FINANCIAL SERVICES | ANGELO & ASSOCIATES FINANCIAL PLANNING GROUP | ANDERSON SCHWARZ FINANCIAL LTD | ANDERSON FINANCIAL LTD | ANCHOR FINANCIAL ASSOCIATES, LLC | AMERICAN FINANCIAL MANAGEMENT GROUP | ALPERT FINANCIAL | ALNA FINANCIAL GROUP LLC | ALMANZA WEALTH MANAGEMENT | ALLEGIANCE FINANCIAL GROUP | ALBANY FINANCIAL GROUP | AK FINANCIAL GROUP | AGING ISSUES MANAGEMENT | AGING ISSUES INFO | ADVANTAGE INVESTMENT ADVISORS | ADVANTAGE FINANCIAL GROUP | ADVANCED WEALTH ADVISORY, LLC | ACUMEN WEALTH ADVISORS | ABM FINANCIAL LLC | ABILITY WEALTH GROUP, LLC | A&C MANAGEMENT GROUP | 54 FINANCIAL GROUP | 435 FINANCIAL | 20/20 FINANCIAL...
CRD#: 155216 / SEC#: 801-72060
RIA
Registered Investment Advisory firm - (1/3/2011 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
305 Madison Avenue, Morristown, NJ 07960
Mailing Address
305 Madison Avenue Po Box 1820, Morristown, NJ 07962
Phone number
(973) 538-7010
Established
Firm type
Fiscal year end
# of Employees
746
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 137,723 |
| AUM (Assets Under Management) | $ 41,370,460,253 |
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.
