Robin Lester Saunders | Financial Professional

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.

Robin Lester Saunders was a registered financial professional .

Robin is a previously registered financial professional and started their career in finance in 2005. Robin had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

No

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 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

August 1, 2013 - December 26, 2014

SWBC INVESTMENT COMPANY

RIA

CRD#: 140994

SAN ANTONIO, TX

Past

July 2, 2013 - June 11, 2015

SWBC INVESTMENT SERVICES, LLC

BD

CRD#: 133715

SAN ANTONIO, TX

Past

August 2, 2010 - June 2, 2011

MOMENTUM INDEPENDENT NETWORK INC.

BD

CRD#: 17587

OCHLOCKNEE, GA

Past

July 27, 2010 - June 2, 2011

MOMENTUM INDEPENDENT NETWORK INC.

RIA

CRD#: 17587

OCHLOCKNEE, GA

Past

January 1, 2008 - August 12, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

THOMASVILLE, GA

Past

January 1, 2008 - August 12, 2008

WELLS FARGO CLEARING SERVICES, LLC

BD

CRD#: 19616

THOMASVILLE, GA

Past

September 14, 2005 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

THOMASVILLE, GA

Past

April 1, 2005 - September 9, 2005

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

THOMASVILLE, GA

Past

March 17, 2005 - January 3, 2008

A. G. EDWARDS & SONS, INC.

BD

CRD#: 4

THOMASVILLE, GA

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".

SI

SWBC INVESTMENT COMPANY

CRD#: 140994 / SEC#: 801-68054

RIA

Registered Investment Advisory firm - (6/25/2007 Approved)

Florida

Registered Investment Advisory firm - (12/26/2019 Terminated)

Texas

Registered Investment Advisory firm - (6/29/2007 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

State Security Law Exam

RR

IAR

Series 66

Date: 3/25/2005

Uniform Combined State Law Examination

General Industry/Product Exam

RR

SIE

Date: 6/11/2015

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 3/16/2005

General Securities Representative Examination

Current Firm

SI

SWBC INVESTMENT COMPANY

CRD#: 140994 / SEC#: 801-68054

RIA

Registered Investment Advisory firm - (6/25/2007 Approved)

Florida

Registered Investment Advisory firm - (12/26/2019 Terminated)

Texas

Registered Investment Advisory firm - (6/29/2007 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).

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Contact information

Main Address

9311 San Pedro Avenue Suite 600, San Antonio, TX 78216-4459

Mailing Address

Phone number

(210) 376-3279

Established

Firm type

Fiscal year end

# of Employees

28

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SWBC INVESTMENT COMPANY WRAP PROGRAM (3/31/2025)

SWBC INVESTMENT COMPANY ADV SCHEDULE A PART 2 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	406
AUM (Assets Under Management)	$ 229,193,705

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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Advisor Monitoring

Firm Stability Insights

Robin L. Saunders

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SWBC INVESTMENT SERVICES, LLC

MOMENTUM INDEPENDENT NETWORK INC.

MOMENTUM INDEPENDENT NETWORK INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

SWBC INVESTMENT COMPANY

State Registrations and Notice Filings

Exams

Series 66

Date: 3/25/2005

SIE

Date: 6/11/2015

Series 7

Date: 3/16/2005

Current Firm

SWBC INVESTMENT COMPANY

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SWBC INVESTMENT COMPANY

TRUST BUT VERIFY

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