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Robert N. Fitzpatrick

Some features on this profile are disabled
CRD#: 4841177
RF

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 Nooch Fitzpatrick, who also goes by Robert N Fitzpatrick, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 2004. Robert had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert N Fitzpatrick

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

April 30, 2014 - June 20, 2025

EDELMAN FINANCIAL ENGINES

RIA
CRD#: 104510
Scottsdale, AZ
Past

November 27, 2013 - April 29, 2014

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
SCOTTSDALE, AZ
Past

April 25, 2013 - December 12, 2013

LPL FINANCIAL LLC

BD
CRD#: 6413
PHOENIX, AZ
Past

February 18, 2010 - January 8, 2013

MUTUAL OF AMERICA SECURITIES LLC

BD
CRD#: 27878
PHOENIX, AZ
Past

February 18, 2010 - January 8, 2013

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

BD
CRD#: 15356
PHOENIX, AZ
Past

December 9, 2008 - January 12, 2010

USAA FINANCIAL PLANNING SERVICES

RIA
CRD#: 106352
PHOENIX, AZ
Past

October 23, 2007 - December 31, 2008

USAA INVESTMENT SERVICES COMPANY

RIA
CRD#: 5475
PHOENIX, AZ
Past

September 7, 2007 - January 12, 2010

USAA FINANCIAL ADVISORS, INC.

BD
CRD#: 129035
PHOENIX, AZ
Past

March 7, 2006 - December 31, 2007

USAA INVESTMENT SERVICES COMPANY

BD
CRD#: 5475
PHOENIX, AZ
Past

December 10, 2004 - October 12, 2005

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA

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".
EF
EDELMAN FINANCIAL ENGINES
EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA
Registered Investment Advisory firm - (1/14/1998 Approved)

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 65
Date: 6/12/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/12/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/25/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/27/2004
Investment Company Products/Variable Contracts Representative Examination

Current Firm

EF
EDELMAN FINANCIAL ENGINES
EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA
Registered Investment Advisory firm - (1/14/1998 Approved)
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Contact information

Main Address
3945 Freedom Circle, Santa Clara, CA 95054
Mailing Address
Phone number
(800) 601-5957
Established
Firm type
Fiscal year end
# of Employees
1,616

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

EFE_ADV_PART_2A_03.31.2025 (3/31/2025)
EFE_WRAP_FEE_BROCHURE_03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts1,552,934
AUM (Assets Under Management)$ 292,902,969,770

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.

Company Information

EDELMAN FINANCIAL ENGINES

CRD#: 104510

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