RB
Robert J. Burgett
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CRD#: 5122232
RB
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.
Robert J Burgett, who also goes by Bob Burgett, Robert James Burgett, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2006. Robert had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Bob Burgett | Robert James Burgett
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.
Aetna Health and Life Ins Co-Aetna Health Inc (PA)-Aetna Health Ins Co- Aetna Life Ins Co-Anthem Life Ins Co-Care Improvement Plus South Central Ins Co-Community Ins Co-Coventry Health and Life Ins Co-Dental Care Plus Inc-Envision Ins Co-First Health Life & Health Ins Co-Humana Benefit Plan of Illinois, Inc.- Humana Ins Co-Humana Wisconsin Health Organization Ins Corp-Medical Health Insuring Corp of OH-Medical Mutual of OH-Silverscript Ins Co-Symphonix Health Ins Inc-United Healthcare Ins Co-United Healthcare of Wisconsin Inc.-Continental Life Ins Co of Brentwood Tennessee-United Healthcare of KY Ltd. Humana Benefit Plan of OH Inc (29897)-Coventry Health Care of Florida, Inc. Coventry Health Plan of Florida, Inc.-Medica Healthcare Plans, Inc.-Preferred Care Partners, Inc.-Sierra Health and Life Ins Co-Humana Health Plan,INC-Aetna Health Inc. DESCRIPTION: Health Insurance sales and servicing. ROBERT BURGETT, P&C INDEPENDENT CLAIMS ADJUSTER POSITION: Independent P&C Adjuster NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2014 ADDRESS: 8337 Landmark Court, West Chester OH 45069, United States DESCRIPTION: Independent P&C Adjuster, currently not active; maintaining for my licenses. GENERAL HEALTH INSURANCE POSITION: Agent NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2012 ADDRESS: 8354 Princeton Glendale Road, Suite 206, West Chester OH 45069, United States DESCRIPTION: health insurance sales and servicing PERSPECTIVE FINANCIAL GROUP, LLC., (AKA "PERSPECTIVE MEDICARE SOLUTIONS") POSITION: Sole member NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2012 ADDRESS: 8354 Princeton Glendale Road, Suite 206, West Chester OH 45069, United States DESCRIPTION: Health Insurance sales and servicing.
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®
NoneExperience
Past
November 14, 2024 - March 20, 2025
LPL ENTERPRISE, LLC
RIA
CRD#: 8733
WEST CHESTER, OH
Past
November 14, 2024 - March 20, 2025
LPL ENTERPRISE, LLC
BD
CRD#: 8733
WEST CHESTER, OH
Past
November 15, 2018 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
West Chester, OH
Past
August 6, 2018 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
West Chester, OH
Past
January 11, 2016 - July 25, 2018
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
West Chester, OH
Past
January 11, 2016 - July 25, 2018
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
West Chester, OH
Past
April 25, 2012 - December 31, 2015
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
WEST CHESTER, OH
Past
March 27, 2012 - December 31, 2015
FSC SECURITIES CORPORATION
BD
CRD#: 7461
WEST CHESTER, OH
Past
July 18, 2011 - December 9, 2011
CERITY PARTNERS OCIO LLC
RIA
CRD#: 151916
NEW YORK, NY
Past
November 24, 2009 - July 12, 2011
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
SHARONVILLE, OH
Past
November 23, 2009 - July 12, 2011
SECURITIES AMERICA, INC.
BD
CRD#: 10205
SHARONVILLE, OH
Past
July 18, 2006 - December 18, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
WEST CHESTER, OH
Past
May 22, 2006 - December 18, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
WEST CHESTER, OH
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
