RS
Robert D. Schaff
IA NETWORK
CHARLOTTE, NC 28202
Some features on this profile are disabled
CRD#: 5427456
RS
Professional summary
Robert David Schaff, CFP®, CIMA®, who also goes by Robert David Schaff, Robert Schaff, is a registered financial advisor currently at IA NETWORK, LLC located in Charlotte, North Carolina and PURSHE KAPLAN STERLING INVESTMENTS located in Charlotte, North Carolina.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Robert has worked at 10 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert David Schaff | Robert Schaff
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) IA Network, LLC DBA Uptown Partners Advisory, LLC. Investment Related; 210 N. Church Street, Unit 1905, Charlotte, NC 28202; Managing Partner; Start Date: 1/27/2022; 10 hrs/mo; 10 hrs during trading; RIA Firm. 2) IAN Consulting. Not investment related. Charlotte, NC 28202, Consulting Services. Consultant. Started 02/2018. 20hrs/mo devoted during trading. Duties are to provide consulting services to advisory firms and advisors regarding their operations, compliance, technology & vendors. 3) IAN Insurance, LLC. Not investment related. 210 N Church Street, Unit 1905. Insurance sales. Agent. Start 3/2021. 5 hrs/mth- 5 during trading hrs. Offer insurance products and services. 4) FINRA Arbitrator. Not investment related. One Liberty Plaza, 165 Broadway, 27th Floor, New York, NY 10006. Dispute Resolution. Arbitrator. Started 7/18/2019. 0 hrs/mth -0 during trading hrs. Serve on an Arbitrator Panel when selected to do so. 5) Executor for Joseph and Susan Schaff. Not Investment Related. Charlotte, NC 28202. Executor of Estate. Started 02/2020. Currently 0 hours per month. No duties at this time. 6) Aviemore Management, LLC. d/b/a Stockham Financial. Not Investment Related. At Reported Location. Tax Reporting Entity. Managing Partner. 4/2022. 0 Hrs/Mo; 0 Hrs During Trading Hours. Entity for Advisory Revenue and Expenses. 7) Sublease of Office Space. Not Investment Related. 7401 Carmel Executive Park Dr. Charlotte, NC 28226, Landlord. Real Estate. 6/1/2024. 1 hr devoted to OBA. 1 Hr devoted during NYSE Trading Hrs. Collect rent and pay expenses. 8) Metro Glamping. Not investment related. 210 N Church St, Unit 1905, Charlotte, NC 28202. Backyard/mobile camping service. Owner/operator. 04/23/2025. 20 hrs per month. 5 hrs during trading hrs per month. I will manage the business and all activities. The business provides "Glamping" setups or peoples backyards or other agreed upon locations.
CRS (Client Relationship Summary) - RIA
Click below to view Robert David Schaff'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®
CFP®
Start date: 2018
Experience
Current
March 25, 2022 - Present
IA NETWORK, LLC
Office #1: 210 N Church St Suite 1905, Charlotte, NC 28202RIA
CRD#: 319096
CHARLOTTE, NC
Current
May 16, 2019 - Present
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Charlotte, NC
Past
March 8, 2019 - March 25, 2022
HILTON HEAD CAPITAL PARTNERS, LLC
RIA
CRD#: 299375
HILTON HEAD ISLAND, SC
Past
April 9, 2018 - July 13, 2018
ODYSSEY ALLIANCE WEALTH ADVISORS, LLC
RIA
CRD#: 292426
CHARLOTTE, NC
Past
March 13, 2017 - January 22, 2018
SGMA CAPITAL MARKETS LIMITED
BD
CRD#: 135327
Charlotte, NC
Past
June 3, 2016 - January 19, 2018
HAYDEN ROYAL
RIA
CRD#: 170037
CHARLOTTE, NC
Past
July 15, 2014 - June 16, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
CHARLOTTE, NC
Past
July 15, 2014 - June 16, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
CHARLOTTE, NC
Past
April 18, 2013 - July 14, 2014
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CHARLOTTE, NC
Past
April 18, 2013 - July 14, 2014
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHARLOTTE, NC
Past
April 8, 2008 - March 26, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
CHARLOTTE, NC
Past
April 8, 2008 - April 24, 2012
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHARLOTTE, NC
Past
April 8, 2008 - March 26, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
CHARLOTTE, NC
Past
November 14, 2007 - April 7, 2008
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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".
IN
IA NETWORK, LLC
IA NETWORK, LLC | UPTOWN PARTNERS ADVISORY | UPTOWN PARTNERS | TICE MCNINCH | STOCKHAM FINANCIAL CHARLOTTE | STOCKHAM FINANCIAL | IAN
CRD#: 319096 / SEC#: 801-123452
RIA
Registered Investment Advisory firm - (3/15/2022 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.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
Alabama(5/16/2019)
IAR
Alabama(3/25/2022)
RR
Florida(5/16/2019)
RR
Indiana(6/21/2022)
RR
Louisiana(11/11/2022)
IAR
Louisiana(3/10/2023)
IAR
New York(3/11/2024)
RR
North Carolina(5/16/2019)
IAR
North Carolina(3/25/2022)
RR
South Carolina(5/16/2019)
IAR
South Carolina(10/6/2022)
RR
Texas(6/21/2022)
RR
Virginia(5/16/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
IN
IA NETWORK, LLC
IA NETWORK, LLC | UPTOWN PARTNERS ADVISORY | UPTOWN PARTNERS | TICE MCNINCH | STOCKHAM FINANCIAL CHARLOTTE | STOCKHAM FINANCIAL | IAN
CRD#: 319096 / SEC#: 801-123452
RIA
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Contact information
Main Address
210 N Church St Suite 1905, Charlotte, NC 28202
Mailing Address
Phone number
(704) 272-1211
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 572 |
| AUM (Assets Under Management) | $ 183,507,741 |
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.
