RN
Robert B. Needham
NEEDHAM ADVISORY
NORTH ANDOVER, MA 01845
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CRD#: 2569173
RN
Professional summary
Robert B Needham is a registered financial advisor currently at NEEDHAM ADVISORY CORPORATION located in North Andover, Massachusetts.
Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Robert has worked at 1 firm and has passed the Series 65 exam.
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.
NAME: APPLETON PARTNERS, INC. THE BUSINESS IS INVESTMENT-RELATED. ADDRESS: ONE POST OFFICE SQUARE, BOSTON, MA NATURE OF OTHER BUSINESS: INVESTMENT MANAGEMENT POSITION: DIRECTOR; SERVE ON ADVISORY BOARD (NOT MANAGEMENT) RELATIONSHIP STARTED IN 1987 SPEND 6 HOURS PER YEAR AT SEMI-ANNUAL MEETINGS
CRS (Client Relationship Summary) - RIA
Click below to view Robert B Needham'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®
NoneExperience
Current
April 20, 1994 - Present
NEEDHAM ADVISORY CORPORATION
Office #1: 861 Turnpike St, North Andover, MA 01845RIA
CRD#: 105378
NORTH ANDOVER, MA
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".
NA
NEEDHAM ADVISORY CORPORATION
NEEDHAM ADVISORY CORP. | R. B. NEEDHAM ADVISORY CORP. | NEEDHAM R B ADVISORY CORP | NEEDHAM ADVISORY CORPORATION
CRD#: 105378 / SEC#: 801-132495
RIA
Registered Investment Advisory firm - (4/21/2025 Approved)Florida
Registered Investment Advisory firm - (1/13/2025 Terminated)Massachusetts
Registered Investment Advisory firm - (7/2/2025 Terminated)New Hampshire
Registered Investment Advisory firm - (7/9/2025 Terminated)Texas
Registered Investment Advisory firm - (7/2/2025 Terminated)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
Massachusetts(4/20/1994)
IAR
New Hampshire(1/24/1995)
IAR
Texas(3/22/2010)
Current Firm
NA
NEEDHAM ADVISORY CORPORATION
NEEDHAM ADVISORY CORP. | R. B. NEEDHAM ADVISORY CORP. | NEEDHAM R B ADVISORY CORP | NEEDHAM ADVISORY CORPORATION
CRD#: 105378 / SEC#: 801-132495
RIA
Registered Investment Advisory firm - (4/21/2025 Approved)Florida
Registered Investment Advisory firm - (1/13/2025 Terminated)Massachusetts
Registered Investment Advisory firm - (7/2/2025 Terminated)New Hampshire
Registered Investment Advisory firm - (7/9/2025 Terminated)Texas
Registered Investment Advisory firm - (7/2/2025 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
861 Turnpike Street Unit 226, North Andover, MA 01845
Mailing Address
P.o. Box 398, Andover, MA 01810
Phone number
(978) 681-8821
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 248 |
| AUM (Assets Under Management) | $ 100,180,105 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 04/03/2024 | ||
| 03/07/2024 | ||
| 10/30/2023 |
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.
