Robert J. Bazan

GALLAGHER FIDUCIARY ADVISORS

Houston, TX 77027

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CRD#: 5175554

Professional summary

Robert James Bazan, who also goes by Robert J Bazan, Robert Bazan, is a registered financial advisor currently at GALLAGHER FIDUCIARY ADVISORS, LLC located in Houston, Texas and OSAIC WEALTH, INC. located in Houston, Texas.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Robert has worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Robert J Bazan | Robert Bazan

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) - RIA

Click below to view Robert James Bazan's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 6, 2022 - Present

GALLAGHER FIDUCIARY ADVISORS, LLC

Office #1: 1900 West Loop South, Suite 1500, Houston, TX 77027

RIA

CRD#: 146509

Houston, TX

Current

August 23, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 1900 W Loop South Ste 1600, Houston, TX 77027

RIA

CRD#: 23131

Houston, TX

Past

August 3, 2022 - August 23, 2024

TRIAD ADVISORS LLC

CRD#: 25803

Houston, TX

Past

January 28, 2022 - May 2, 2022

FROST INVESTMENT SERVICES

RIA

CRD#: 286129

Houston, TX

Past

August 26, 2020 - December 31, 2021

FROST INVESTMENT SERVICES

RIA

CRD#: 286129

HOUSTON, TX

Past

July 24, 2020 - May 2, 2022

FROST BROKERAGE SERVICES, INC.

CRD#: 17465

Houston, TX

Past

July 24, 2018 - July 21, 2020

J.P. MORGAN SECURITIES LLC

CRD#: 79

SUGAR LAND, TX

Past

December 12, 2013 - December 4, 2017

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

HOUSTON, TX

Past

December 20, 2010 - December 5, 2013

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

HOUSTON, TX

Past

September 14, 2006 - December 5, 2013

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

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".

GALLAGHER FIDUCIARY ADVISORS, LLC

CRD#: 146509 / SEC#: 801-68868

RIA

Registered Investment Advisory firm - (3/17/2008 Approved)

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.

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

IAR

Texas
(9/6/2022)

Texas
(8/23/2024)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/16/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/20/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/9/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/13/2006

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

GALLAGHER FIDUCIARY ADVISORS, LLC

CRD#: 146509 / SEC#: 801-68868

RIA

Registered Investment Advisory firm - (3/17/2008 Approved)

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Contact information

Main Address

2850 Golf Road, Rolling Meadows, IL 60008

Mailing Address

Phone number

(212) 330-1011

Established

Firm type

Fiscal year end

# of Employees

221

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A FOR GALLAGHER FIDUCIARY ADVISORS, LLC FOR RETAIL CLIENTS (4/22/2025)

FORM ADV PART 2A FOR GALLAGHER FIDUCIARY ADVISORS, LLC FOR INSTITUTIONAL CLIENTS (4/22/2025)

Regulatory assets under management

Total Number of Accounts	5,754
AUM (Assets Under Management)	$ 180,614,282,519

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 J. Bazan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert James Bazan's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

TRIAD ADVISORS LLC

FROST INVESTMENT SERVICES

FROST INVESTMENT SERVICES

FROST BROKERAGE SERVICES, INC.

J.P. MORGAN SECURITIES LLC

COREBRIDGE CAPITAL SERVICES, INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

GALLAGHER FIDUCIARY ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/16/2010

Series 63

Date: 9/20/2006

Series 7TO

Date: 4/9/2021

SIE

Date: 10/1/2018

Series 6

Date: 9/13/2006

FINRA

Current Firm

GALLAGHER FIDUCIARY ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GALLAGHER FIDUCIARY ADVISORS, LLC

TRUST BUT VERIFY

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