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RS

Robert Southworth Searle

SEARLE & CO.

GREENWICH, CT

·CRD# 839312·49 years experience

Professional Summary

Robert Southworth Searle is a registered financial advisor currently at SEARLE & CO. located in Greenwich, Connecticut. Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Robert has worked at 4 firms and has passed the Series 66, Series 99TO, Series 52TO, Series 79TO, SIE, Series 7, Series 4, Series 24, Series 14 and Series 40 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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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

49 years in the financial services industry

Current & Past Employments

SEARLE & CO.·CRD# 13035

RIA

BD

333 Greenwich Ave, Greenwich, CT 06830

November 6, 2002 - Present

SEARLE & CO.·CRD# 13035

RIA

BD

333 Greenwich Ave, Greenwich, CT 06830

April 6, 1983 - Present

SCS ASSET MANAGEMENT, INC·CRD# 132450

RIA

Tampa, FL

November 8, 2004 - September 14, 2007

WESTON FINANCIAL SERVICES LLC·CRD# 117946

BD

New York, NY

July 5, 2002 - July 21, 2011

SHEARMAN, RALSTON INC.·CRD# 7320

BD

July 1, 1977 - April 7, 1983

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Current Firm

S&

SEARLE & CO.

SEARLE & CO.

CRD#: 13035 / SEC#: 801-68574, 8-28600

RIA

Registered Investment Advisory firm - SEC (11/30/2007 Approved)

Connecticut

Registered Investment Advisory firm - SEC (12/5/2007 Terminated)

BD

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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).

Contact Information

Main Address

333 Greenwich Ave., Greenwich, CT 06830

Mailing Address

333 Greenwich Ave., Greenwich, CT 06830

Phone Number

(203) 869-4800

Established

Connecticut since 11/22/1982

Firm Type

Corporation

Fiscal Year End

September

Firm Size

Small

# of Employees

13

SEC notice filing (9 States and Territories)

Registered to provide investment advisory services in 9 US states and territories.

FINRA licenses (25 States and Territories)

Registered to provide investment advisory services in 9 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

SEARLE & CO. FORM ADV PART 2A: DISCLOSURE BROCHURE (12/16/2025)

Direct owners and executive officers

Name	Position	CRD#
SEARLE, ROBERT SOUTHWORTH	PRESIDENT/CHIEF COMPLIANCE OFFICER, CFO	839312
COOK, THADDEUS SAJOUS	VICE PRESIDENT	856315
PETERS, KAREN LYNN	FIN OP	2080613

Regulatory Assets Under Management

Total Number of Accounts

129

AUM (Assets Under Management)

$629,892,525

Disclosures

Regulatory Event

4

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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.

Name of business: Trustee for a private trust, Investment related: No, Nature of business: Trust, Start Date: September 16, 2024, Role: Trustee, Approximate number of hours/month: 5 - 10, Approximate number of hours during securities trading hours: 5 Briefly describe your duties: I serve as trustee for 2 private trusts. In this capacity, I manage trust assets and make trust-related decisions. My duties include overseeing asset distributions, ensuring compliance with trust terms and relevant laws, and maintain accurate records of trust activities.

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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".

S&

SEARLE & CO.

SEARLE & CO.

CRD#: 13035 / SEC#: 801-68574, 8-28600

RIA

Registered Investment Advisory firm - SEC (11/30/2007 Approved)

Connecticut

Registered Investment Advisory firm - SEC (12/5/2007 Terminated)

BD

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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.

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(9/24/2025)

RR

California
(2/2/2010)

RR

Colorado
(2/5/2010)

RR

Connecticut
(8/25/1983)

IAR

Connecticut
(11/6/2002)

RR

Florida
(9/5/2006)

RR

Georgia
(10/17/2022)

RR

Indiana
(1/6/1993)

RR

Massachusetts
(6/26/2025)

RR

Missouri
(9/8/2006)

RR

Montana
(11/16/2009)

RR

New Mexico
(2/17/2006)

RR

New York
(12/1/1989)

RR

Pennsylvania
(2/4/1992)

RR

South Carolina
(5/23/2023)

RR

Texas
(8/31/2005)

IAR

Texas
(10/28/2024)

RR

Virginia
(2/9/2010)

RR

Wyoming
(5/19/2015)

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.Note:This rule does not apply to broker-dealer activity.

Exams

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

Series 66 — Uniform Combined State Law Examination

Passed Oct 2002About the Series 66 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

Series 52TO — Municipal Securities Representative Examination

Passed Jan 2023About the Series 52TO exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jun 1977About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Jan 2023About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Jan 2023About the Series 24 exam

Series 14 — Compliance Officer Examination

Passed Jan 2023About the Series 14 exam

Series 40 — Registered Principal Examination

Passed Sep 1978

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Robert Southworth Searle's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Robert Southworth Searle's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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RS

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