Robert L. Finch

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CRD#: 4688656

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 Lee Finch III, who also goes by Robert Lee Finch III, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 2005. Robert had worked at 3 firms and has passed the Series 7 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

Robert Lee Finch Iii

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 advisor shows no other business activity.

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®

None

Experience

Past

March 1, 2022 - July 4, 2023

CRESTMONT PRIVATE WEALTH LLC

RIA

CRD#: 304170

Houston, TX

Past

August 27, 2008 - August 17, 2009

HOURGLASS CAPITAL, LLC

RIA

CRD#: 147754

HOUSTON, TX

Past

September 21, 2005 - March 15, 2006

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

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".

CRESTMONT PRIVATE WEALTH LLC

CRD#: 304170 / SEC#: 801-117388

RIA

Registered Investment Advisory firm - (9/23/2019 Approved)

Louisiana

Registered Investment Advisory firm - (9/26/2019 Terminated)

Texas

Registered Investment Advisory firm - (9/25/2019 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).

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.

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

General Industry/Product Exam

Series 7

Date: 9/20/2005

General Securities Representative Examination

Current Firm

CRESTMONT PRIVATE WEALTH LLC

CRD#: 304170 / SEC#: 801-117388

RIA

Registered Investment Advisory firm - (9/23/2019 Approved)

Louisiana

Registered Investment Advisory firm - (9/26/2019 Terminated)

Texas

Registered Investment Advisory firm - (9/25/2019 Terminated)

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Contact information

Main Address

604 S. Main, Boerne, TX 78006

Mailing Address

Phone number

(832) 280-5288

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (1/23/2025)

Regulatory assets under management

Total Number of Accounts	714
AUM (Assets Under Management)	$ 301,660,284

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.

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Robert L. Finch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CRESTMONT PRIVATE WEALTH LLC

HOURGLASS CAPITAL, LLC

CREDIT SUISSE SECURITIES (USA) LLC

Primary Firm SEC Registration

CRESTMONT PRIVATE WEALTH LLC

State Registrations and Notice Filings

Exams

Series 7

Date: 9/20/2005

Current Firm

CRESTMONT PRIVATE WEALTH LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CRESTMONT PRIVATE WEALTH LLC

TRUST BUT VERIFY

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