RF
Robert J. Fignar
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CRD#: 3054328
RF
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 James Fignar, CFP® was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1998. Robert had worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED OFFICE, NATURE OF BUSINESS: FIXED INSURANCE - LIFE AND ANNUITIES POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE, START DATE: 2002, APPROX NUMBER OF HOURS PER WEEK: 40, BRIEF DESCRIPTION OF DUTIES: SALES AND SERVICE; 2. NAME OF OTHER BUSINESS: ORRSTOWN BANK - ORRSTOWN FINANCIAL ADVISORS; INVESTMENT RELATED: YES; ADDRESS: 77 E KING ST, SHIPPENSBURG, PA 17257; NATURE OF BUSINESS: BANK; POSITION/TITLE/RELATIONSHIP: EXECUTIVE VICE PRESIDENT; START DATE: 10/2018; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: PERRY COUNTY, FRANKLIN COUNTY, WASHINGTON COUNTY COMMERCIAL LENDING; 3. NAME OF OTHER BUSINESS: ORRSTOWN FINANCIAL ADVISORS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES; START DATE: 10/2018; POSITION/TITLE/RELATIONSHIP: EXECUTIVE VICE PRESIDENT; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 4. NAME OF OTHER BUSINESS: TUSCARORA AREA DEVELOPMENT AUTHORITY, INVESTMENT RELATED: NO, ADDRESS: 19 N MAIN STREET, PO BOX 161, MERCERSBURG, PA 17236, NATURE OF BUSINESS: LOCAL COUNTY GOVERNMENT/DEVELOPMENT, POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT, START DATE: APX NUMBER OF HOURS PER WEEK: 1, BRIEF DESCRIPTION OF DUTIES: ECONOMIC ACTIVITY IS SOUGHT TO BUILD THE REAL ESTATE TAX BASE IN THE DISTRICT; 5. NAME OF OTHER BUSINESS: FRANKLIN COUNTY PLANNING COMMISSION, INVESTMENT RELATED: NO, ADDRESS: 218 N 2ND STREET, CHAMBERSBURG, PA 17201, NATURE OF BUSINESS: LOCAL COUNTY GOVERNMENT, POSITION/TITLE/RELATIONSHIP: BOARD OF DIRECTORS, START DATE: , APX NUMBER OF HOURS PER WEEK: 1, BRIEF DESCRIPTION OF DUTIES: APPROVAL OF SUBDIVISIONS AND EXPANSION PLANS IN THE COUNTY TO ENSURE THAT COUNTY GROWTH IS IN SYNC WITH THE OVERALL COUNTY PLAN; 6. NAME OF OTHER BUSINESS: ST. MARK ROMAN CATHOLIC CHURCH INVESTMENT RELATED: NO ADDRESS: 395 SOUTH RIDGE AVE GREENCASTLE PA 17225 START DATE: 8/2016 NATURE OF BUSINESS: CHURCH APX # OF HOURS PER WEEK: 5 APX # OF HOURS DURING TRADING HOURS: 5 POSITION/TITLE/RELATIONSHIP: CHAIRMAN DUTIES: CHAIRMAIN OF FINANCE COMMITTEE AND MEMBER OF PARISH COUNCIL
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®
Experience
Past
April 18, 2016 - October 3, 2022
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
SHIPPENSBURG, PA
Past
May 14, 2012 - October 3, 2022
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SHIPPENSBURG, PA
Past
August 18, 2004 - December 31, 2010
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
MERCERSBURG, PA
Past
May 1, 2003 - December 31, 2010
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
MERCERSBURG, PA
Past
June 12, 1998 - May 1, 2003
T.H.E. FINANCIAL GROUP, LTD
BD
CRD#: 14720
MECHANICSBURG, PA
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
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CW
CETERA WEALTH SERVICES, LLC
CETERA ADVISOR NETWORKS LLC | GORDON SIMMERS SECURITY CORPORATION | FIRST ASSET MANAGEMENT CORPORATION | FINANCIAL NETWORK INVESTMENT CORPORATION | CETERA WEALTH SERVICES, LLC | CETERA NETWORKS
CRD#: 13572 / SEC#: 801-47342, 8-29577
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
2301 Rosecrans Ave #5100 Suite 5100, El Segundo, CA 90245-5672
Mailing Address
Po Box 983, Saint Cloud, MN 56302
Phone number
(800) 879-8100
Established
Delaware since 12/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,881
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
