Robert R. Straka
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 Ross Straka, CFP®, who also goes by Bob Straka, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1969. Robert had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1982
Experience
June 6, 2018 - December 31, 2024
LPL FINANCIAL LLC
June 6, 2018 - December 31, 2024
LPL FINANCIAL LLC
June 2, 2005 - June 7, 2018
CETERA ADVISORS LLC
June 2, 2005 - June 7, 2018
CETERA ADVISORS LLC
June 15, 2004 - May 16, 2005
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
April 30, 2004 - May 4, 2004
AMSOUTH INVESTMENT SERVICES, INC.
April 29, 2004 - May 13, 2005
AMSOUTH INVESTMENT SERVICES, INC.
December 17, 2002 - April 20, 2004
CETERA ADVISORS LLC
December 17, 2002 - April 20, 2004
CETERA ADVISORS LLC
May 14, 2002 - April 30, 2004
VOYA FINANCIAL PARTNERS, LLC
May 14, 2002 - April 30, 2004
VOYA FINANCIAL PARTNERS, LLC
June 30, 1994 - May 15, 2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 30, 1994 - May 15, 2002
OSAIC FA, INC.
August 19, 1988 - June 1, 1994
WS GRIFFITH SECURITIES, INC.
May 7, 1987 - August 20, 1988
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
September 26, 1986 - May 15, 1987
MONY SECURITIES CORPORATION
November 11, 1980 - March 10, 1982
AVALON INVESTMENT & SECURITIES GROUP, INC.
October 12, 1978 - December 15, 1980
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 7, 1969 - November 21, 1971
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 10/4/1978
Registered Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
