Robin S. Prosser

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CRD#: 4294623

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.

Robin S Prosser, who also goes by Robin S Prosser, Robin Shirley Prosser, was a registered financial professional .

Robin is a previously registered financial professional and started their career in finance in 2000. Robin had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Robin S Prosser | Robin Shirley Prosser

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.

Outside Employment; GVB Alliance, LLC; Paraplanner; Walnut Creek, CA 94596; Not Investment Related; Jan 2020; 60+ hours per month; 60+ during trading hours. Fiduciary Activities; Named or act in a fiduciary capacity; such as attorney-in-fact, trustee, conservator, guardian, executor or personal representative.

Blog Corner

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®

RIA

CRD#: 5393

SAN FRANCISCO, CA

Past

December 1, 2000 - July 16, 2007

CHARLES SCHWAB & CO., INC.

CRD#: 5393

SAN FRANCISCO, CA

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 66

Date: 6/27/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/30/2000

General Securities Representative Examination

Current Firm

STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC

CRD#: 1254 / SEC#: 801-67179, 8-2915

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

15495 Sw Sequoia Parkway Suite 150, Portland, OR 97224

Mailing Address

15495 Sw Sequoia Parkway Suite 150, Portland, OR 97224

Phone number

(971) 353-7800

Established

Delaware since 04/22/2021

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

524

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

STEWARD PARTNERS INVESTMENT SOLUTIONS PART 2A (5/22/2024)

FORM ADV PART 2A APPENDIX 1B - FCC (3/28/2024)

FORM ADV PART 2A APPENDIX 1A - PERSHING & FOLIO (3/28/2024)

Direct owners and executive officers

Name	Position	CRD#
STEWARD PARTNERS HOLDINGS, LLC	OWNER
ACHKIRE, DEBRA VOLLAND	COUNSEL	4898647
FABER, JOSEPH S	CHIEF FINANCIAL OFFICER	4834049
GULDNER, ROBERT JOHN	CHIEF COMPLIANCE OFFICER	2283980
MARTINEZ, ROBERTO ANTONIO	AML OFFICER	2991605
WINTERBOURNE, JEANI THERESA	PRESIDENT	1075564

Regulatory assets under management

Total Number of Accounts	2,712
AUM (Assets Under Management)	$ 990,880,713

Disclosures

Regulatory Event	13
Arbitration	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/28/2023	Cover Page	Report

Red Flags

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Robin S. Prosser

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

CAPITAL ADVANTAGE, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/27/2002

SIE

Date: 10/1/2018

Series 7

Date: 11/30/2000

Current Firm

STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC

TRUST BUT VERIFY

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