Robert Charles Waddell | Financial Professional | Springdale, Arkansas

Professional summary

Robert Charles Waddell is a registered financial advisor currently at CL WEALTH MANAGEMENT LLC located in Springdale, Arkansas and CABOT LODGE SECURITIES LLC located in Springdale, Arkansas.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Robert has worked at 9 firms and has passed the Series 66, Series 63, 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) WADDELL WEALTH MANAGEMENT (DBA), INVESTMENT RELATED, SPRINGDALE, AR, INVESTMENT SERVICES, OWNER, 08/2008; APPROX 160 HRS/MTH; APPROX 100 HRS/MTH DURING SECURITIES TRADING; INVESTMENT RELATED SERVICES FOR CLIENTS' INVESTMENTS. 2)HABITUAL SMOKERS BAR-BE-CUE TEAM, NON-INVESTMENT RELATED; SPRINGDALE, AR, COMPETITION BARBECUE COOKING TEAM, OWNER, 01/1996; 10 HOURS PER MONTH, 10 PER MONTH DURING TRADING HOURS; PARTICIPATES IN BBQ COMPETITION. 3)ROBERT WADDELL, SPRINGDALE, AR, INVESTMENT RELATED; INSURANCE SALES; AGENT; START 08/2008; APPROX 0 HOURS PER MONTH, 0 HOURS PER MONTH DURING TRADING HOURS, WHILE INSURANCE LICENSED I DO NOT PURSUE INSURANCE BUSINESS. 4) NATIONAL ASSOCIATION OF INSURANCE AND FINANCIAL ADVISORS (NAIFA), NON-INVESTMENT RELATED, SPRINGDALE, AR, STATE PRESIDENT, 07/2007, 10 HOURS PER MONTH, 10 HOURS DURING TRADING HOURS, HELP GUIDE THE INTERESTS OF NAIFA ON THE STATE LEVEL.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Charles Waddell's CRS (Customer Relationship Summary).

September 13, 2005 - August 21, 2008

EDWARD JONES

BD

CRD#: 250

SPRINGDALE, AR

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".

CW

CL WEALTH MANAGEMENT LLC

CRD#: 134922 / SEC#: 801-72701

RIA

Registered Investment Advisory firm - (10/4/2011 Approved)

Arizona

Registered Investment Advisory firm - (12/31/2009 Terminated)

Colorado

Registered Investment Advisory firm - (11/4/2011 Terminated)

Connecticut

Registered Investment Advisory firm - (1/13/2012 Terminated)

Florida

Registered Investment Advisory firm - (10/6/2011 Terminated)

Georgia

Registered Investment Advisory firm - (10/12/2011 Terminated)

Illinois

Registered Investment Advisory firm - (10/4/2011 Terminated)

Iowa

Registered Investment Advisory firm - (10/6/2011 Terminated)

Maryland

Registered Investment Advisory firm - (10/19/2011 Terminated)

New Jersey

Registered Investment Advisory firm - (10/21/2011 Terminated)

North Carolina

Registered Investment Advisory firm - (12/31/2010 Terminated)

Tennessee

Registered Investment Advisory firm - (12/31/2009 Terminated)

Virginia

Registered Investment Advisory firm - (10/17/2011 Terminated)

West Virginia

Registered Investment Advisory firm - (10/6/2011 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/6/2011 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR

Arkansas
(6/23/2017)

IAR

Arkansas
(6/26/2017)

RR

California
(6/9/2017)

RR

Colorado
(1/24/2022)

RR

Florida
(6/9/2017)

IAR

Florida
(8/22/2019)

RR

New York
(6/6/2025)

RR

North Carolina
(8/1/2022)

RR

Oklahoma
(6/9/2017)

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. Note: This rule does not apply to broker-dealer activity.

Current Firm

CW

CL WEALTH MANAGEMENT LLC

CRD#: 134922 / SEC#: 801-72701

RIA

Registered Investment Advisory firm - (10/4/2011 Approved)

Arizona

Registered Investment Advisory firm - (12/31/2009 Terminated)

Colorado

Registered Investment Advisory firm - (11/4/2011 Terminated)

Connecticut

Registered Investment Advisory firm - (1/13/2012 Terminated)

Florida

Registered Investment Advisory firm - (10/6/2011 Terminated)

Georgia

Registered Investment Advisory firm - (10/12/2011 Terminated)

Illinois

Registered Investment Advisory firm - (10/4/2011 Terminated)

Iowa

Registered Investment Advisory firm - (10/6/2011 Terminated)

Maryland

Registered Investment Advisory firm - (10/19/2011 Terminated)

New Jersey

Registered Investment Advisory firm - (10/21/2011 Terminated)

North Carolina

Registered Investment Advisory firm - (12/31/2010 Terminated)

Tennessee

Registered Investment Advisory firm - (12/31/2009 Terminated)

Virginia

Registered Investment Advisory firm - (10/17/2011 Terminated)

West Virginia

Registered Investment Advisory firm - (10/6/2011 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/6/2011 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

425 N. Martingale Rd. Suite 1220, Schaumburg, IL 60173

Mailing Address

Phone number

(212) 388-6200

Established

Firm type

Fiscal year end

# of Employees

42

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A 2-25-25 (2/25/2025)

Regulatory assets under management

Total Number of Accounts	2,073
AUM (Assets Under Management)	$ 628,729,517

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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Firm Stability Insights

Robert C. Waddell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Charles Waddell's CRS (Customer Relationship Summary).

Certified licenses

Experience

CABOT LODGE SECURITIES LLC

WILBANKS SECURITIES ADVISORY

WILBANKS SECURITIES, INC.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

FIRST INDEPENDENT ADVISORY SERVICES, INC.

FIRST INDEPENDENT FINANCIAL SERVICES, INC.

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

CL WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/5/2007

Series 63

Date: 9/16/2005

SIE

Date: 10/1/2018

Series 7

Date: 9/12/2005

FINRA

Current Firm

CL WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CL WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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