RS
Robert G. Spadaford
PRINCETON GLOBAL ASSET MANAGEMENT LLC
Princeton, NJ 08542
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CRD#: 5063208
RS
Professional summary
Robert G Spadaford, who also goes by Robert Gerard Spadaford, is a registered financial advisor currently at PRINCETON GLOBAL ASSET MANAGEMENT LLC located in Princeton, New Jersey.
Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Robert has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert Gerard Spadaford
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.
Robert Spadaford is a registered representative. From time to time, he will offer clients advice or products from this activity. Clients should be aware that these services pay a commission and involve a possible conflict of interest, as commissionable products can conflict with the fiduciary duties of a registered investment adviser. Princeton Global Asset Management always acts in the best interest of the client; including in the sale of commissionable products to advisory clients. Clients are in no way required to utilize the services any representative of Princeton Global Asset Management in such individual's outside capacity.
Robert Spadaford is a licensed insurance agent. From time to time, he will offer clients advice or products from this activity. Clients should be aware that these services pay a commission and involve a possible conflict of interest, as commissionable products can conflict with the fiduciary duties of a registered investment adviser. Princeton Global Asset Management always acts in the best interest of the client; including in the sale of commissionable products to advisory clients. Clients are in no way required to implement the plan through any representative of Princeton Global Asset Management in their capacity as a licensed insurance agent.
CRS (Client Relationship Summary) - RIA
Click below to view Robert G Spadaford'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
September 18, 2017 - Present
PRINCETON GLOBAL ASSET MANAGEMENT LLC
Office #1: 17 Hulfish Street Suite 240, Princeton, NJ 08542RIA
CRD#: 146644
Princeton, NJ
Past
August 2, 2017 - November 1, 2017
PREPAIR FINANCIAL
RIA
CRD#: 285343
NEWTOWN, PA
Past
September 19, 2016 - July 12, 2017
CANTOR FITZGERALD WEALTH PARTNERS, LLC
RIA
CRD#: 167479
Yardley, PA
Past
September 19, 2016 - July 12, 2017
CFWP SECURITIES, LLC
BD
CRD#: 170228
NEW YORK, NY
Past
December 13, 2013 - June 15, 2016
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
WAYNE, PA
Past
November 19, 2013 - June 15, 2016
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
WAYNE, PA
Past
February 23, 2006 - November 7, 2013
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
BALA CYNWYD, PA
Past
February 17, 2006 - November 7, 2013
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
BALA CYNWYD, PA
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".
PG
PRINCETON GLOBAL ASSET MANAGEMENT LLC
PRINCETON GLOBAL ASSET MANAGEMENT LLC
CRD#: 146644 / SEC#: 801-71305
RIA
Registered Investment Advisory firm - (4/9/2010 Approved)Texas
Registered Investment Advisory firm - (4/22/2010 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
New Jersey(9/21/2017)
IAR
Pennsylvania(9/18/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PG
PRINCETON GLOBAL ASSET MANAGEMENT LLC
PRINCETON GLOBAL ASSET MANAGEMENT LLC
CRD#: 146644 / SEC#: 801-71305
RIA
Registered Investment Advisory firm - (4/9/2010 Approved)Texas
Registered Investment Advisory firm - (4/22/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
17 Hulfish Street Suite 240, Princeton, NJ 08542
Mailing Address
Phone number
(609) 945-1781
Established
Firm type
Fiscal year end
# of Employees
17
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,164 |
| AUM (Assets Under Management) | $ 782,787,247 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
PRINCETON GLOBAL ASSET MANAGEMENT LLC
CRD#: 146644Princeton, NJ 08542TRUST BUT VERIFY
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