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RB

Robert Baldacci

CRD# 3037308·Registered 1998 - 2026
Previously Registered: Being a previously registered professional could mean that Robert 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.

Professional Summary

Robert Baldacci, who also goes by Bob Baldacci, Robert D Baldacci, Robert David Baldacci, was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1998 - 2026. Robert had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52 and Series 26 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Bob Baldacci, Robert D Baldacci, Robert David Baldacci

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

28 years in the financial services industry

Current & Past Employments

CETERA INVESTMENT ADVISERS LLC·CRD# 105644
RIA
Soquel, CA
June 29, 2023 - October 9, 2026
CETERA WEALTH SERVICES, LLC·CRD# 13572
RIA
Soquel, CA
May 4, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
Soquel, CA
May 3, 2021 - October 9, 2026
J.P. MORGAN SECURITIES LLC·CRD# 79
RIA
Monterey, CA
October 1, 2012 - May 17, 2021
J.P. MORGAN SECURITIES LLC·CRD# 79
BD
Monterey, CA
October 1, 2012 - May 17, 2021
CHASE INVESTMENT SERVICES CORP.·CRD# 25574
BD
Pacific Grove, CA
May 15, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.·CRD# 25574
RIA
Pacific Grove, CA
May 14, 2009 - October 1, 2012
BANC OF AMERICA INVESTMENT SERVICES, INC.·CRD# 16361
RIA
Concord, CA
November 24, 2008 - March 18, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.·CRD# 16361
BD
Concord, CA
November 24, 2008 - March 18, 2009
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
RIA
El Cajon, CA
February 1, 2007 - November 7, 2008
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
BD
El Cajon, CA
February 1, 2007 - November 7, 2008
ATLAS SECURITIES, LLC·CRD# 20991
BD
El Cajon, CA
October 12, 2005 - February 1, 2007
CITICORP INVESTMENT SERVICES·CRD# 23988
RIA
Capitola, CA
July 14, 2004 - October 26, 2005
CITICORP INVESTMENT SERVICES·CRD# 23988
BD
Long Island City, NY
April 21, 2003 - October 26, 2005
WAMU INVESTMENTS, INC.·CRD# 599
BD
Irvine, CA
March 23, 2000 - April 15, 2003
EDWARD JONES·CRD# 250
BD
St. Louis, MO
October 20, 1998 - December 6, 1999
AMERIPRISE ADVISOR SERVICES, INC.·CRD# 5979
BD
Detroit, MI
May 27, 1998 - October 28, 1998

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Current Firm

CI
CETERA INVESTMENT ADVISERS LLC

CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - SEC (1/13/1984 Approved)

Contact Information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Phone Number

(310) 257-7880

# of Employees

10,251

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

813,961

AUM (Assets Under Management)

$256,813,748,739

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
09/25/2026Cover PageReport
10/27/2025Cover PageReport
12/13/2024Cover PageReport
09/26/2023Cover PageReport

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 6/28/2000 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELL LIFE, ANNUITIES, AND LONG-TERM CARE 2. NAME OF OTHER BUSINESS: ROBERT BALDACCI; INVESTMENT RELATED: NO; ADDRESS: 380 BELLEGROVE DR MYRTLE BEACH, SC 29579; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 09/2024; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: RENTAL PROPERTY; 3. NAME OF OTHER BUSINESS: OHANA WEALTH MANAGEMENT DBA INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL ADVISOR OFFERING INVESTMENTS TO MEET FINANCIAL NEEDS OF CLIENTS. ADVISING CLIENTS ON INVESTMENT PRODUCTS AND INVESTMENT RELATED SERVICES. THIS INCLUDES RETIREMENT PLANNING, INVESTMENTS, AND INSURANCE SERVICES. START DATE: 5/2021 POSITION/TITLE/RELATIONSHIP: INDEPENDENT CONTRACTOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISOR PROVIDING INVESTMENT ADVICE UNDER OHANA WEALTH MANAGEMENT.; 4. NAME OF OTHER BUSINESS: ROBERT D BALDACCI, INC., INVESTMENT RELATED: YES, ADDRESS: 288 PEARL ST, SUITE 101, MONTEREY, CA 93940, NATURE OF BUSINESS: S CORP, START DATE: 05/2021, POSITION/TITLE/RELATIONSHIP: OWNER/CEO, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: CORP. FOR EXPENSE MANAGEMENT OF SECURITIES BUSINESS ; 5. NAME OF OTHER BUSINESS: BUSINESS NETWORK INTERNATIONAL; INVESTMENT RELATED: NO; ADDRESS: 5214 - F DIAMOND HEIGHTS BLVD #629 SAN FRANCISCO,CA 94131; NATURE OF BUSINESS: NETWORKING GROUP; START DATE: 09/2024; POSITION/TITLE/RELATIONSHIP: TREASURER/SECRETARY; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: COLLECT MEMBERSHIP FEES, REIMBURSE MEMBERS FOR EXPENSES ASSOCIATED WITH WEEKLY MEETINGS, PROVIDE WEEKLY UPDATES TO GROUP;

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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".
CI
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CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - SEC (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Nov 2003About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1998About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 1998About the Series 7 exam

Series 52 — Municipal Securities Representative Examination

Passed May 1998About the Series 52 exam

Series 26 — Investment Company Products/Variable Contracts Principal Examination

Passed Aug 2006About the Series 26 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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