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Robert Clinton Chastain

CRD# 5503552·Registered 2008 - 2026
Previously Registered: Being a previously registered professional could mean that Robert 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.

Professional Summary

Robert Clinton Chastain, who also goes by Robert C Chastain, Robert Chastain, was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 2008 - 2026. Robert had worked at 8 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Robert C Chastain, Robert Chastain

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

18 years in the financial services industry

Current & Past Employments

NEPTUNE WEALTH·CRD# 329160
RIA
Cape Coral, FL
October 22, 2025 - October 2, 2026
ANNEX WEALTH MANAGEMENT, LLC·CRD# 127987
RIA
Naples, FL
May 26, 2022 - February 21, 2025
CUNA BROKERAGE SERVICES, INC.·CRD# 13941
RIA
Naples, FL
July 22, 2020 - May 17, 2022
CUNA BROKERAGE SERVICES, INC.·CRD# 13941
BD
Naples, FL
June 25, 2020 - May 17, 2022
ALLSTATE FINANCIAL ADVISORS, LLC·CRD# 109524
RIA
Harrison Township, MI
May 4, 2018 - June 15, 2020
ALLSTATE FINANCIAL SERVICES, LLC·CRD# 18272
BD
Harrison Township, MI
May 4, 2018 - June 12, 2020
PFS INVESTMENTS INC.·CRD# 10111
RIA
Romeo, MI
April 25, 2016 - January 12, 2017
PFS INVESTMENTS INC.·CRD# 10111
BD
Romeo, MI
April 13, 2016 - January 12, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
Bloomfield Hills, MI
December 23, 2013 - April 28, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
RIA
Bloomfield Hills, MI
May 6, 2013 - April 28, 2014
THINKORSWIM ADVISORS, INC.·CRD# 111046
RIA
Bloomfield Hills, MI
March 11, 2008 - September 13, 2011

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Current Firm

NW
NEPTUNE WEALTH

NEPTUNE ADVISORY SOLUTIONS LLC | NEPTUNE WEALTH | NEPTUNE ADVISORY, LLC

CRD#: 329160
Florida
Registered Investment Advisory firm - Florida (1/7/2025 Approved)
Pennsylvania
Registered Investment Advisory firm - Pennsylvania (9/30/2024 Approved)
Wisconsin
Registered Investment Advisory firm - Wisconsin (9/18/2025 Approved)

Contact Information

Main Address

190 Bilmar Dr. Suite 150, Pittsburgh, PA 15205

Phone Number

(239) 634-9295

# of Employees

5

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

189

AUM (Assets Under Management)

$35,543,521

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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.

GREATER NAPLES OFFICIALS ASSOCIATION POSITION: football referee NATURE: sports referee for football, soccer, and basketball INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 08/13/2021 ADDRESS: 4100 corporate Square, ste 160, Naples FL 34104, United States DESCRIPTION: provide and enforce rules for sports participants. Neptune Technologies, not investment-related. Chief Operating Officer. Approx 20-25 hours a week during trading hours.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 2014About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Feb 2009About the Series 65 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Dec 2013About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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