Robert J. Caron
Professional summary
Robert Joseph Caron, who also goes by Robert Caron, is a registered financial advisor currently at WESTMINSTER FINANCIAL ADVISORY CORP located in Andover, Massachusetts and WESTMINSTER FINANCIAL SECURITIES, INC. located in Andover, Massachusetts.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Robert has worked at 7 firms and has passed the Series 66, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Robert Joseph Caron's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 25, 2010 - Present
WESTMINSTER FINANCIAL ADVISORY CORP
Office #1: 166 N. Main Street, Ste 7a, Andover, MA 01810February 25, 2010 - Present
WESTMINSTER FINANCIAL SECURITIES, INC.
Office #1: 166 N Main St Ste 7a, Andover, MA 01810November 17, 2009 - February 18, 2010
TD WEALTH MANAGEMENT SERVICES INC.
November 4, 2009 - February 18, 2010
TD WEALTH MANAGEMENT SERVICES INC.
September 4, 2007 - November 17, 2009
CETERA INVESTMENT SERVICES LLC
August 24, 2007 - November 17, 2009
BANCNORTH INVESTMENT GROUP, INC.
May 10, 2005 - September 20, 2007
UBS FINANCIAL SERVICES INC.
February 24, 2003 - March 18, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 6, 2002 - March 18, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
WESTMINSTER FINANCIAL ADVISORY CORP
CRD#: 110283 / SEC#: 801-29690
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/3/2021)
(6/3/2021)
(3/10/2011)
(3/9/2018)
(9/29/2016)
(2/25/2010)
(12/2/2016)
(8/23/2016)
(4/5/2017)
(1/19/2011)
(5/5/2017)
(7/18/2013)
(4/2/2018)
(2/25/2010)
(3/1/2010)
(2/25/2010)
(2/23/2017)
(7/24/2023)
(7/24/2023)
(5/6/2024)
(5/8/2024)
(6/12/2025)
(6/30/2025)
(3/10/2011)
(3/10/2011)
(8/24/2016)
(8/4/2023)
(4/5/2017)
(3/12/2018)
(6/29/2015)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
WESTMINSTER FINANCIAL ADVISORY CORP
CRD#: 110283 / SEC#: 801-29690
Contact information
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,255 |
| AUM (Assets Under Management) | $ 1,224,901,646 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2024 | ||
| 02/26/2024 | ||
| 12/09/2022 |
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.
