RA
Robert L. Ainsworth
SEI INVESTMENTS MANAGEMENT CORP
Oaks, PA 19456
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CRD#: 5576689
RA
Professional summary
Robert Lawson Ainsworth, who also goes by Robert Ainsworth, is a registered financial advisor currently at SEI INVESTMENTS MANAGEMENT CORP located in Oaks, Pennsylvania and SEI INVESTMENTS DISTRIBUTION CO. located in Oaks, Pennsylvania.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. 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 Ainsworth
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.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Lawson Ainsworth'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
August 16, 2022 - Present
SEI INVESTMENTS MANAGEMENT CORP
Office #1: One Freedom Valley Drive, Oaks, PA 19456RIA
CRD#: 105146
Oaks, PA
Current
August 16, 2022 - Present
SEI INVESTMENTS DISTRIBUTION CO.
Office #1: One Freedom Valley Drive, Oaks, PA 19456BD
CRD#: 10690
Oaks, PA
Past
February 8, 2022 - August 2, 2022
MWA FINANCIAL SERVICES INC.
BD
CRD#: 112630
Jacksonville, FL
Past
April 3, 2020 - November 9, 2020
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
Jacksonville, FL
Past
April 2, 2020 - November 9, 2020
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
Jacksonville, FL
Past
April 10, 2019 - March 18, 2020
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
RIA
CRD#: 611
Jacksonville, FL
Past
March 25, 2019 - March 18, 2020
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
Jacksonville, FL
Past
January 7, 2009 - November 29, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
JACKSONVILLE, FL
Past
October 21, 2008 - November 29, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
JACKSONVILLE, FL
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".
SI
SEI INVESTMENTS MANAGEMENT CORP
GOAL INVESTOR | SEI PRIVATE WEALTH MANAGEMENT | SEI INVESTMENTS MANAGEMENT CORP | SEI HUNTINGTON STEELE | SEI FIXED INCOME PORTFOLIO MANAGEMENT | SEI ADVISOR NETWORK | GOALINVESTOR
CRD#: 105146 / SEC#: 801-24593
RIA
Registered Investment Advisory firm - (6/27/1985 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(12/20/2023)
RR
Alaska(12/20/2023)
RR
Arizona(12/20/2023)
RR
Arkansas(12/20/2023)
RR
California(12/20/2023)
RR
Colorado(12/20/2023)
RR
Connecticut(12/20/2023)
RR
Delaware(12/20/2023)
RR
District of Columbia(12/20/2023)
RR
Florida(12/20/2023)
RR
Georgia(12/20/2023)
RR
Hawaii(12/20/2023)
RR
Idaho(12/20/2023)
RR
Illinois(12/20/2023)
RR
Indiana(12/20/2023)
RR
Iowa(12/20/2023)
RR
Kansas(12/20/2023)
RR
Kentucky(12/20/2023)
RR
Louisiana(12/20/2023)
RR
Maine(12/20/2023)
RR
Maryland(12/20/2023)
RR
Massachusetts(12/20/2023)
RR
Michigan(12/20/2023)
RR
Minnesota(12/20/2023)
RR
Mississippi(12/20/2023)
RR
Missouri(12/20/2023)
RR
Montana(12/20/2023)
RR
Nebraska(12/20/2023)
RR
Nevada(12/20/2023)
RR
New Hampshire(12/20/2023)
RR
New Jersey(12/20/2023)
RR
New Mexico(12/20/2023)
RR
New York(12/20/2023)
RR
North Carolina(12/20/2023)
RR
North Dakota(12/20/2023)
RR
Ohio(12/20/2023)
RR
Oklahoma(12/20/2023)
RR
Oregon(12/20/2023)
RR
Pennsylvania(8/16/2022)
IAR
Pennsylvania(8/16/2022)
RR
Puerto Rico(12/20/2023)
RR
Rhode Island(12/20/2023)
RR
South Carolina(12/20/2023)
RR
South Dakota(12/20/2023)
RR
Tennessee(12/20/2023)
RR
Texas(12/20/2023)
RR
Utah(12/20/2023)
RR
Vermont(12/20/2023)
RR
Virgin Islands(12/20/2023)
RR
Virginia(12/20/2023)
RR
Washington(12/20/2023)
RR
West Virginia(12/20/2023)
RR
Wisconsin(12/20/2023)
RR
Wyoming(12/20/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SI
SEI INVESTMENTS MANAGEMENT CORP
GOAL INVESTOR | SEI PRIVATE WEALTH MANAGEMENT | SEI INVESTMENTS MANAGEMENT CORP | SEI HUNTINGTON STEELE | SEI FIXED INCOME PORTFOLIO MANAGEMENT | SEI ADVISOR NETWORK | GOALINVESTOR
CRD#: 105146 / SEC#: 801-24593
RIA
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Contact information
Main Address
One Freedom Valley Drive, Oaks, PA 19456
Mailing Address
Phone number
(610) 676-1000
Established
Firm type
Fiscal year end
# of Employees
447
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 99,603 |
| AUM (Assets Under Management) | $ 198,143,431,156 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 01/27/2025 | ||
| 10/25/2023 | ||
| 01/27/2023 |
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.
