Robert J. Funk

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CRD#: 6086226

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 James Funk, who also goes by Bob James Funk, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 2013. Robert had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bob James Funk

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)

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®

None

Experience

Past

July 22, 2020 - December 4, 2023

WEALTH TEAMS ALLIANCE

RIA

CRD#: 168907

Lake Forest, CA

Past

March 29, 2019 - September 24, 2019

SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC

RIA

CRD#: 144069

IRVINE, CA

Past

June 28, 2018 - October 16, 2018

SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC

RIA

CRD#: 144069

IRVINE, CA

Past

July 28, 2017 - May 31, 2018

MML INVESTORS SERVICES, LLC

CRD#: 10409

IRVINE, CA

Past

November 13, 2014 - June 30, 2017

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

ORANGE, CA

Past

January 28, 2013 - October 8, 2014

NYLIFE SECURITIES LLC

CRD#: 5167

IRVINE, CA

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".

WEALTH TEAMS ALLIANCE

CRD#: 168907 / SEC#: 801-122977

RIA

Registered Investment Advisory firm - (1/3/2022 Approved)

California

Registered Investment Advisory firm - (1/21/2023 Terminated)

Colorado

Registered Investment Advisory firm - (11/9/2018 Terminated)

Florida

Registered Investment Advisory firm - (12/22/2022 Terminated)

Kansas

Registered Investment Advisory firm - (12/22/2022 Terminated)

Michigan

Registered Investment Advisory firm - (11/16/2018 Terminated)

Minnesota

Registered Investment Advisory firm - (3/13/2018 Terminated)

Rhode Island

Registered Investment Advisory firm - (11/8/2018 Terminated)

Texas

Registered Investment Advisory firm - (12/22/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/23/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/5/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/31/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/25/2013

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 1/5/2016

Investment Company Products/Variable Contracts Principal Examination

Current Firm

WEALTH TEAMS ALLIANCE

CRD#: 168907 / SEC#: 801-122977

RIA

Registered Investment Advisory firm - (1/3/2022 Approved)

California

Registered Investment Advisory firm - (1/21/2023 Terminated)

Colorado

Registered Investment Advisory firm - (11/9/2018 Terminated)

Florida

Registered Investment Advisory firm - (12/22/2022 Terminated)

Kansas

Registered Investment Advisory firm - (12/22/2022 Terminated)

Michigan

Registered Investment Advisory firm - (11/16/2018 Terminated)

Minnesota

Registered Investment Advisory firm - (3/13/2018 Terminated)

Rhode Island

Registered Investment Advisory firm - (11/8/2018 Terminated)

Texas

Registered Investment Advisory firm - (12/22/2022 Terminated)

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Contact information

Main Address

15520 Rockfield Blvd Suite G, Irvine, CA 92618

Mailing Address

Phone number

(877) 282-4768

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WEALTH TEAMS ALLIANCE WRAP BROCHURE (3/28/2025)

WEALTH TEAMS ALLIANCE ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	950
AUM (Assets Under Management)	$ 205,554,000

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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Advisor Monitoring

Firm Stability Insights

Robert J. Funk

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC

SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC

MML INVESTORS SERVICES, LLC

W&S BROKERAGE SERVICES, INC.

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

WEALTH TEAMS ALLIANCE

State Registrations and Notice Filings

Exams

Series 65

Date: 3/23/2018

Series 63

Date: 3/5/2013

SIE

Date: 5/31/2018

Series 6

Date: 1/25/2013

Series 26

Date: 1/5/2016

Current Firm

WEALTH TEAMS ALLIANCE

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTH TEAMS ALLIANCE

TRUST BUT VERIFY

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