Robert J. Wilkes

THE ROBERT J. WILKES PLANNING FORUM

Binghamton, NY 13901-2335

Some features on this profile are disabled

CRD#: 467118

Professional summary

Robert James Wilkes JR is a registered financial advisor currently at THE ROBERT J. WILKES PLANNING FORUM located in Binghamton, New York.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1969. Robert has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 1 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.

THE WILKES JOHNSON COMPREHENSIVE PLANNING INSTITUTE POSITION: partner NATURE: Financial Services or advisor activities INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 INVESTMENT RELATED HOURS: 50 START DATE: 01/01/2003 ADDRESS: 401 Main Street, Johnson City NY 13790 DESCRIPTION: financial planning THE ROBERT WILKES PLANNING FORUM - RIA POSITION: Owner NATURE: Financial Services or advisor activities INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 INVESTMENT RELATED HOURS: 40 START DATE: 07/30/1981 ADDRESS: 32 W. State St., Suite 211, Binghamton NY 13901 DESCRIPTION: Financial planning. THE WILKES JOHNSON COMPREHENSIVE PLANNING INSTITUTE - INSURANCE POSITION: partner NATURE: Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 INVESTMENT RELATED HOURS: 50 START DATE: 01/01/2003 ADDRESS: 401 Main Street, Johnson City NY 13790 DESCRIPTION: provides financial planning which includes comprehensive life, disability income, annuity and long term care sales and service THE ROBERT J. WILKES PLANNING FORUM - INSURANCE POSITION: Owner NATURE: Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 INVESTMENT RELATED HOURS: 1 START DATE: 06/30/1981 ADDRESS: 32 W. State Street, Suite 211, Binghamton NY 13901 DESCRIPTION: provides financial planning which includes comprehensive life, disability income, annuity and long term care sales and service

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert James Wilkes JR'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®

None

Experience

Current

November 3, 2021 - Present

THE ROBERT J. WILKES PLANNING FORUM

Office #1: 32 West State Street Suite 211, Binghamton, NY 13901-2335

RIA

CRD#: 119953

Binghamton, NY

Past

March 6, 2017 - October 19, 2017

FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150

Binghamton, NY

Past

December 2, 2009 - December 31, 2016

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

BINGHAMTON, NY

Past

February 18, 2005 - October 1, 2009

WALL STREET FINANCIAL GROUP, INC.

RIA

CRD#: 35830

BINGHAMTON, NY

Past

February 8, 2001 - October 1, 2009

WALL STREET FINANCIAL GROUP, INC.

CRD#: 35830

BINGHAMTON, NY

Past

March 1, 1999 - January 16, 2001

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

KNOXVILLE, TN

Past

March 1, 1996 - January 4, 1999

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

January 4, 1991 - March 1, 1996

G. R. PHELPS & CO., INC.

CRD#: 173

Past

April 29, 1971 - December 31, 1990

G. R. PHELPS & CO., INC.

CRD#: 173

Past

December 19, 1969 - November 8, 1971

EQUITY SERVICES, INC.

CRD#: 265

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

New York
(11/3/2021)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/14/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/6/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/19/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 12/10/1969

Registered Representative Examination

Current Firm

THE ROBERT J. WILKES PLANNING FORUM

ROBERT J. WILKES, JR. | THE ROBERT J. WILKES PLANNING FORUM

CRD#: 119953 / SEC#:

New York

Registered Investment Advisory firm - (6/18/1999 Approved)

Pennsylvania

Registered Investment Advisory firm - (4/16/2018 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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

32 West State Street Suite 211, Binghamton, NY 13901-2335

Mailing Address

Phone number

(607) 722-1968

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Similar Advisors

Gerri Harrison

J. W. COLE ADVISORS, INC.

IAR

Johnson City, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert J. Wilkes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert James Wilkes JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORTUNE FINANCIAL SERVICES, INC.

GROVE POINT INVESTMENTS, LLC

WALL STREET FINANCIAL GROUP, INC.

WALL STREET FINANCIAL GROUP, INC.

SECURITIES SERVICE NETWORK, LLC

MML INVESTORS SERVICES, LLC

G. R. PHELPS & CO., INC.

G. R. PHELPS & CO., INC.

EQUITY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/14/2001

Series 63

Date: 12/6/1986

SIE

Date: 10/19/2017

Series 1

Date: 12/10/1969

Current Firm

THE ROBERT J. WILKES PLANNING FORUM

Contact information

Documents

Red Flags

Company Information

THE ROBERT J. WILKES PLANNING FORUM

TRUST BUT VERIFY

Similar Advisors