Robert S. Rich

HUNTLEIGH ADVISORS

ST. LOUIS, MO 63105

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CRD#: 375448

Professional summary

Robert Stephen Rich, who also goes by Bob Rich, is a registered financial advisor currently at HUNTLEIGH ADVISORS, INC. located in St. Louis, Missouri and HUNTLEIGH SECURITIES CORPORATION located in St. Louis, Missouri.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1969. Robert has worked at 11 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bob Rich

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Stephen Rich's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 20, 2015 - Present

HUNTLEIGH ADVISORS, INC.

Office #1: 7800 Forsyth Blvd, St. Louis, MO 63105

RIA

CRD#: 113412

ST. LOUIS, MO

Current

June 1, 2015 - Present

HUNTLEIGH SECURITIES CORPORATION

Office #1: 7800 Forsyth Blvd. 5th Floor, St. Louis, MO 63105

CRD#: 7456

St. Louis, MO

Past

May 7, 2009 - June 18, 2015

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

ST. LOUIS, MO

Past

April 16, 2009 - June 18, 2015

OPPENHEIMER & CO. INC.

CRD#: 249

ST. LOUIS, MO

Past

May 5, 2004 - May 5, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

CLAYTON, MO

Past

May 5, 2004 - May 5, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

CLAYTON, MO

Past

July 1, 2003 - May 7, 2004

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ST. LOUIS, MO

Past

July 1, 2003 - May 7, 2004

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

September 12, 1984 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

ST. LOUIS, MO

Past

August 16, 1984 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

January 31, 1980 - September 6, 1984

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

June 17, 1974 - January 31, 1980

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CRD#: 640

Past

September 24, 1973 - July 13, 1974

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Past

October 11, 1972 - November 3, 1973

KOHLMEYER & CO.

CRD#: 494

Past

March 24, 1969 - November 10, 1972

A. G. EDWARDS & SONS, INC.

CRD#: 4

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".

HUNTLEIGH ADVISORS, INC.

HUNTLEIGH ADVISORS, INC. | THE HUNTLEIGH GROUP

CRD#: 113412 / SEC#: 801-62677

RIA

Registered Investment Advisory firm - (1/22/2004 Approved)

Illinois

Registered Investment Advisory firm - (5/7/2004 Terminated)

Missouri

Registered Investment Advisory firm - (11/17/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Massachusetts
(6/4/2015)

Missouri
(6/1/2015)

IAR

Missouri
(7/20/2015)

North Carolina
(6/1/2015)

Ohio
(6/1/2015)

Texas
(6/11/2015)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/28/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/12/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 9/2/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 3/13/1969

Registered Representative Examination

SRO Registrations

FINRA

Current Firm

HUNTLEIGH ADVISORS, INC.

HUNTLEIGH ADVISORS, INC. | THE HUNTLEIGH GROUP

CRD#: 113412 / SEC#: 801-62677

RIA

Registered Investment Advisory firm - (1/22/2004 Approved)

Illinois

Registered Investment Advisory firm - (5/7/2004 Terminated)

Missouri

Registered Investment Advisory firm - (11/17/2004 Terminated)

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Contact information

Main Address

7800 Forsyth Blvd. 5th Floor, St. Louis, MO 63105

Mailing Address

Phone number

(314) 236-2400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A & 2B (7/28/2025)

Regulatory assets under management

Total Number of Accounts	1,628
AUM (Assets Under Management)	$ 626,466,687

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.

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Advisor Monitoring

Firm Stability Insights

Robert S. Rich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Stephen Rich's CRS (Customer Relationship Summary).

Certified licenses

Experience

HUNTLEIGH SECURITIES CORPORATION

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

UBS FINANCIAL SERVICES INC.

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

THOMSON MCKINNON SECURITIES INC.

KOHLMEYER & CO.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

HUNTLEIGH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/28/1999

Series 63

Date: 12/12/1991

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

PC

Date: 9/2/1977

Series 1

Date: 3/13/1969

FINRA

Current Firm

HUNTLEIGH ADVISORS, INC.

Contact information

SEC notice filing (38 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HUNTLEIGH ADVISORS, INC.

TRUST BUT VERIFY

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