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Robert E. Fassenfeld

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CRD#: 3092434
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 E Fassenfeld was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1998. Robert had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

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.
The advisor shows no other business activity.

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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®
None

Experience

Past

May 21, 2018 - April 5, 2019

PERSONAL CAPITAL ADVISORS CORPORATION

RIA
CRD#: 155172
Oceanside, NY
Past

August 1, 2012 - April 13, 2018

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Lake Grove, NY
Past

August 1, 2012 - April 13, 2018

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Lake Grove, NY
Past

November 17, 2010 - July 26, 2012

MORGAN STANLEY

RIA
CRD#: 149777
NEW YORK, NY
Past

November 12, 2010 - July 26, 2012

MORGAN STANLEY

BD
CRD#: 149777
NEW YORK, NY
Past

April 27, 2005 - July 7, 2009

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
NEW YORK, NY
Past

May 14, 2004 - November 24, 2010

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
NEW YORK, NY
Past

July 16, 2003 - April 12, 2004

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, NY
Past

October 23, 2000 - July 3, 2003

EQUITABLE DISTRIBUTORS, LLC

BD
CRD#: 25900
CHARLOTTE, NC
Past

January 20, 2000 - September 29, 2000

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

July 27, 1998 - December 20, 1999

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY

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
IAR
Series 65
Date: 8/15/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/27/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/13/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/19/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/24/1998
Investment Company Products/Variable Contracts Representative Examination

Current Firm

PC
PERSONAL CAPITAL ADVISORS CORPORATION
PERSONAL CAPITAL ADVISORS CORPORATION | SAFECORP ADVISORS CORPORATION

CRD#: 155172 / SEC#: 801-72613

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Contact information

Main Address
8515 East Orchard Road, Greenwood Village, CO 80111
Mailing Address
Phone number
(855) 855-8005
Established
Firm type
Fiscal year end
# of Employees
367

Documents

Latest Form ADV

Part 2 Brochures

PERSONAL CAPITAL ADVISORS CORPORATION FORM ADV 2A 02.15.2023 (2/15/2023)

Regulatory assets under management

Total Number of Accounts104,861
AUM (Assets Under Management)$ 23,087,723,467

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.

Company Information

PERSONAL CAPITAL ADVISORS CORPORATION

CRD#: 155172

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