RB
Robert Baldacci
CETERA INVESTMENT ADVISERS LLC
SOQUEL, CA 95073
Some features on this profile are disabled
CRD#: 3037308
RB
Professional summary
Robert Baldacci, who also goes by Bob Baldacci, Robert D Baldacci, Robert David Baldacci, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Soquel, California and CETERA WEALTH SERVICES, LLC located in Soquel, California.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Robert has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Baldacci | Robert D Baldacci | Robert David Baldacci
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.
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;
CRS (Client Relationship Summary) - RIA
Click below to view Robert Baldacci'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2901 Park Ave Ste B1, Soquel, CA 95073Office #2: 288 Pearl St Suite 101, Monterey, CA 93940RIA
CRD#: 105644
SOQUEL, CA
Current
May 3, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2901 Park Ave Ste B1, Soquel, CA 95073Office #2: 2901 Park Ave, Suite B1, Soquel, CA 95073BD
CRD#: 13572
Soquel, CA
Past
May 4, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
October 1, 2012 - May 17, 2021
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
MONTEREY, CA
Past
October 1, 2012 - May 17, 2021
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
MONTEREY, CA
Past
May 15, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
PACIFIC GROVE, CA
Past
May 14, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
PACIFIC GROVE, CA
Past
November 24, 2008 - March 18, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
CONCORD, CA
Past
November 24, 2008 - March 18, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
CONCORD, CA
Past
February 1, 2007 - November 7, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
EL CAJON, CA
Past
February 1, 2007 - November 7, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
EL CAJON, CA
Past
October 12, 2005 - February 1, 2007
ATLAS SECURITIES, LLC
BD
CRD#: 20991
EL CAJON, CA
Past
July 14, 2004 - October 26, 2005
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
CAPITOLA, CA
Past
April 21, 2003 - October 26, 2005
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
March 23, 2000 - April 15, 2003
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
October 20, 1998 - December 6, 1999
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
May 27, 1998 - October 28, 1998
AMERIPRISE ADVISOR SERVICES, INC.
BD
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".
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 - (1/13/1984 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(5/4/2021)
IAR
California(6/29/2023)
RR
Idaho(5/15/2023)
RR
Illinois(9/10/2024)
RR
Maryland(7/1/2025)
RR
Texas(3/28/2023)
IAR
Texas(6/29/2023)
RR
Virginia(11/2/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
