RS
Robert S. Showalter
THE MAIN STREET GROUP
Glen Allen, VA 23060
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CRD#: 4909334
RS
Professional summary
Robert Spaulding Showalter is a registered financial advisor currently at THE MAIN STREET GROUP located in Glen Allen, Virginia.
Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Robert has worked at 3 firms and has passed the Series 66, SIE and Series 7 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.
(1) 05/02/2014-THE MAIN STREET GROUP/DBA ONLY/GLEN ALLEN,VA
(2) 05/20/2014 - WHITLOCK - OUTSIDE EMPLOYMENT - PROVIDER OF AUDIOVISUAL PRODUCTS AND SERVICES - GLEN ALLEN,VA
CRS (Client Relationship Summary) - RIA
Click below to view Robert Spaulding Showalter'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®
NoneExperience
Current
March 13, 2018 - Present
THE MAIN STREET GROUP
Office #1: 4510 Cox Road Suite 102, Glen Allen, VA 23060RIA
CRD#: 175502
Glen Allen, VA
Past
May 6, 2014 - December 12, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
GLEN ALLEN, VA
Past
May 2, 2014 - December 12, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
GLEN ALLEN, VA
Past
March 26, 2013 - August 7, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
RICHMOND, VA
Past
February 24, 2013 - August 7, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
RICHMOND, VA
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".
TM
THE MAIN STREET GROUP
THE MAIN STREET GROUP | THE MAIN STREET GROUP, LTD
CRD#: 175502 / SEC#: 801-113192
RIA
Registered Investment Advisory firm - (5/8/2018 Approved)Maryland
Registered Investment Advisory firm - (8/10/2018 Terminated)New York
Registered Investment Advisory firm - (7/17/2018 Terminated)North Carolina
Registered Investment Advisory firm - (7/18/2018 Terminated)Texas
Registered Investment Advisory firm - (7/17/2018 Terminated)Virginia
Registered Investment Advisory firm - (7/17/2018 Terminated)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
Virginia(3/13/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TM
THE MAIN STREET GROUP
THE MAIN STREET GROUP | THE MAIN STREET GROUP, LTD
CRD#: 175502 / SEC#: 801-113192
RIA
Registered Investment Advisory firm - (5/8/2018 Approved)Maryland
Registered Investment Advisory firm - (8/10/2018 Terminated)New York
Registered Investment Advisory firm - (7/17/2018 Terminated)North Carolina
Registered Investment Advisory firm - (7/18/2018 Terminated)Texas
Registered Investment Advisory firm - (7/17/2018 Terminated)Virginia
Registered Investment Advisory firm - (7/17/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4510 Cox Road Suite 102, Glen Allen, VA 23060
Mailing Address
Phone number
(804) 270-4470
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (12 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,342 |
| AUM (Assets Under Management) | $ 470,325,672 |
Red Flags
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Company Information
THE MAIN STREET GROUP
CRD#: 175502Glen Allen, VA 23060TRUST BUT VERIFY
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