Robert Simon
Professional Summary
Robert Simon is a registered financial advisor currently at VANGUARD MARKETING CORPORATION located in Malvern, Pennsylvania. Robert is registered as a RR (Registered Representative) and started their career in finance in 2004. Robert has worked at 1 firm and has passed the Series 63, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Who I Serve
Services Offered
- As a Partner and the Vice President of River Capital Advisors. Rob assists clients with reaching their various goals. He has been providing financial planning and security analysis for over 10 years. He helps clients to define their plans for retirement
- education
- and transferring assets to heirs. He also looks at risk factors that can affect individuals such as long term care needs
- disability
- or death. He has many years of experience evaluating annuities and can assess if a current annuity contract should be held or surrendered. Rob is a CERTIFIED FINANCIAL PLANNER™ practitioner (CFP®) and he holds a bachelor’s degree in finance from the University of North Carolina at Charlotte with honors in business.
Specializations
Biography
Rob is passionate about financial planning and investments because of his parents, who included him in meetings with their financial advisors over the years. He figured out through these meeting that not all advisors had their clients best interests in mind. This is why he is passionate about being a financial fiduciary to his clients and the fee-only model. In his free time he enjoys spending time with friends and family including his wife Kim....
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
22 years in the financial services industry
Current & Past Employments
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Current Firm
VANGUARD BROKERAGE SERVICES | VANGUARD MARKETING CORPORATION
Contact Information
Main Address
100 Vanguard Blvd, Malvern, PA 19355Mailing Address
5951 Luckett Court Suite A1, El Paso, TX 79932-1882Phone Number
(610) 669-1000Established
Pennsylvania since 04/21/1977Firm Type
CorporationFiscal Year End
DecemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | — |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRESTOWSKI, AMBER LYNN | DIRECTOR, VICE PRESIDENT | 5389204 |
| COSBY, MARY CAROLINE | DIRECTOR, VICE PRESIDENT | 7114773 |
| KADJESKI, ANDREW MICHAEL | PRESIDENT, DIRECTOR, CEO | 4708335 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| ROTENBERG, JOANNA MICHELLE | DIRECTOR, SENIOR VICE PRESIDENT | 7559067 |
| SCHADL, JOHN EDWARD | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 6931790 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
| VALENTE, LAUREN MARIE | DIRECTOR, SENIOR VICE PRESIDENT | 6119944 |
Disclosures
Regulatory Event
52Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(11/9/2022)
(1/7/2005)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 2004About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Robert Simon's CRS (Customer Relationship Summary).
Services Offered by Robert
- As a Partner and the Vice President of River Capital Advisors. Rob assists clients with reaching their various goals. He has been providing financial planning and security analysis for over 10 years. He helps clients to define their plans for retirement
- education
- and transferring assets to heirs. He also looks at risk factors that can affect individuals such as long term care needs
- disability
- or death. He has many years of experience evaluating annuities and can assess if a current annuity contract should be held or surrendered. Rob is a CERTIFIED FINANCIAL PLANNER™ practitioner (CFP®) and he holds a bachelor’s degree in finance from the University of North Carolina at Charlotte with honors in business.
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