RR
Robert L. Rockwell
INSTITUTIONAL ADVISOR SERVICES
FRESNO, CA 93720-1530
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CRD#: 4211663
RR
Professional summary
Robert Leon Rockwell, CFP® is a registered financial advisor currently at INSTITUTIONAL ADVISOR SERVICES located in Fresno, California.
Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Robert has worked at 4 firms and has passed the Series 66, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
RICHARD A ROCKWELL 1990 TRUST
IS NOT INVESTMENT RELATED, HOWEVER, TRUST RESERVES ARE PLACED IN MUTUAL FUNDS AS APPROPRIATE.
ADDRESS: 936 E. SUTTON DRIVE,FRESNO, CA 93720
MANAGE AND DISTRIBUTE TRUST ASSETS FOR DECEASED BROTHER'S ESTATE; FOR THE BENEFIT OF HIS TWO SONS (MY NEPHEWS)
POSITION: TRUSTEE
DATES: 3/1993 - PRESENT
NUMBER OF HOURS DEVOTED - 10 HOURS PER MONTH
NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS IS ZERO. DONE ON WEEKENDS/FLEXIBLE
DESCRIPTION OF DUTIES: DEPOSIT TRUST INCOME & LIFE INSURANCE PROCEEDS. MANAGE & INVEST TRUST ASSETS ACCORDING TO "PRUDENT MAN" RULE. DISTRIBUTE TRUST FUNDS TO SUB-ACCOUNTS FBO BENEFICIARIES. AUTHORIZE & EXECUTE PAYMENTS FOR TAXES, VENDORS & ADMIN EXPENSES ON BEHALF OF TRUST AND BENEFICIARIES.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Leon Rockwell'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®
Experience
Current
July 2, 2012 - Present
INSTITUTIONAL ADVISOR SERVICES
Office #1: 9 E River Park Pl E, Suite 440, Fresno, CA 93720-1530RIA
CRD#: 44960
FRESNO, CA
Past
June 4, 2007 - July 2, 2012
INSTITUTIONAL ADVISOR SERVICES
RIA
CRD#: 44960
FRESNO, CA
Past
December 11, 2003 - December 11, 2007
BEECHWOOD ADVISORY GROUP, LLC
RIA
CRD#: 127614
FRESNO, CA
Past
October 2, 2003 - October 26, 2007
EPLANNING SECURITIES, INC.
BD
CRD#: 46000
FRESNO, CA
Past
January 30, 2003 - October 2, 2003
INSTITUTIONAL ADVISOR SERVICES
RIA
CRD#: 44960
FRESNO, CA
Past
August 15, 2000 - October 2, 2003
INSTITUTIONAL ADVISOR SERVICES
BD
CRD#: 44960
FRESNO, CA
Past
July 27, 2000 - August 28, 2000
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
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".
IA
INSTITUTIONAL ADVISOR SERVICES
INSTITUTIONAL ADVISOR SERVICES | PLAN LIFE & WEALTH MANAGEMENT, INC. | PLAN FINANCIAL INC. | PLAN FINANCIAL
CRD#: 44960 / SEC#: 801-112596, 8-50897
RIA
Registered Investment Advisory firm - SEC (3/8/2018 Approved)California
Registered Investment Advisory firm - SEC (4/18/2018 Terminated)BD
Terminated by SEC on 12/30/2003
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.Highlighted states indicate IAR registrations
IAR
California(7/2/2012)
Exams
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
IA
INSTITUTIONAL ADVISOR SERVICES
INSTITUTIONAL ADVISOR SERVICES | PLAN LIFE & WEALTH MANAGEMENT, INC. | PLAN FINANCIAL INC. | PLAN FINANCIAL
CRD#: 44960 / SEC#: 801-112596, 8-50897
RIA
Registered Investment Advisory firm - SEC (3/8/2018 Approved)California
Registered Investment Advisory firm - SEC (4/18/2018 Terminated)BD
Terminated by SEC on 12/30/2003
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Contact information
Main Address
9 E River Park Pl E, Suite 440, Fresno, CA 93720-1530
Mailing Address
Phone number
(559) 433-1110
Established
California since 06/10/1993
Firm type
Corporation
Fiscal year end
December
# of Employees
6
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 744 |
| AUM (Assets Under Management) | $ 180,837,833 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
INSTITUTIONAL ADVISOR SERVICES
CRD#: 44960Fresno, CA 93720-1530TRUST BUT VERIFY
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