Robert W. Loreaux

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CRD#: 715433

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 William Loreaux was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1980. Robert had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

AXIOM ASSET MGMT. INVESTMENT RELATED, 550 E. SWEDESFORD RD. STE. 110 WAYNE, PA 19087. RIA FIRM, INVESTMENT ADVISOR 160 HOURS/MONTH

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

December 20, 2007 - March 3, 2025

AXIOM ASSET MANAGEMENT

RIA

CRD#: 145186

WAYNE, PA

Past

July 17, 2003 - December 21, 2007

AXIOM ASSET MANAGEMENT, LLC

RIA

CRD#: 125691

RADNOR , PA

Past

June 20, 2003 - December 31, 2015

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Wayne, PA

Past

September 19, 2002 - July 18, 2003

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

RADNOR, PA

Past

June 5, 1993 - July 18, 2003

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

October 1, 1985 - May 25, 1993

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

December 21, 1984 - October 1, 1985

JII SECURITIES INC.

CRD#: 406

Past

September 23, 1980 - September 24, 1981

JII SECURITIES INC.

CRD#: 406

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".

AXIOM ASSET MANAGEMENT

AXIOM ASSET MANAGEMENT | WEALTHTRUST AXIOM, LLC

CRD#: 145186 / SEC#: 801-68405

RIA

Registered Investment Advisory firm - (10/4/2007 Approved)

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

Series 63

Date: 1/17/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/15/1984

General Securities Representative Examination

Current Firm

AXIOM ASSET MANAGEMENT

AXIOM ASSET MANAGEMENT | WEALTHTRUST AXIOM, LLC

CRD#: 145186 / SEC#: 801-68405

RIA

Registered Investment Advisory firm - (10/4/2007 Approved)

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Contact information

Main Address

550 E Swedesford Rd Suite 110, Wayne, PA 19087

Mailing Address

Phone number

(610) 688-0050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (20 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AXIOM ASSET MANAGEMENT FORM ADV PART 2A MARCH 31, 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	598
AUM (Assets Under Management)	$ 802,765,223

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 W. Loreaux

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AXIOM ASSET MANAGEMENT, LLC

PURSHE KAPLAN STERLING INVESTMENTS

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

GRUNTAL & CO., L.L.C.

JII SECURITIES INC.

JII SECURITIES INC.

Primary Firm SEC Registration

AXIOM ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 1/17/1985

SIE

Date: 12/31/2015

Series 7

Date: 12/15/1984

Current Firm

AXIOM ASSET MANAGEMENT

Contact information

SEC notice filing (20 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AXIOM ASSET MANAGEMENT

TRUST BUT VERIFY

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