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RS

Robert D. Shrimplin

Some features on this profile are disabled
CRD#: 841742
RS

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 Dean Shrimplin was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1977. Robert had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 1 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
1. 07/02/2009 - 626 Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 4/7/2021 - 626 Financial, LLC - DBA: (Hybrid) 626 Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Licensed Admin. - Started 04/06/2021 - 5 Hours Per Month During Securities Trading - I provide administrative support to 626 Financial, LLC, an independent investment advisor firm. I started this business activity in 04/2021. I expect to spend approximately 5 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

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

March 31, 2021 - January 19, 2023

626 FINANCIAL, LLC

RIA
CRD#: 306474
PORTAGE, MI
Past

July 2, 2009 - September 23, 2021

LPL FINANCIAL LLC

RIA
CRD#: 6413
PORTAGE, MI
Past

July 2, 2009 - September 23, 2021

LPL FINANCIAL LLC

BD
CRD#: 6413
PORTAGE, MI
Past

September 26, 2007 - July 7, 2009

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
KALAMAZOO, MI
Past

March 14, 1989 - July 7, 2009

OPPENHEIMER & CO. INC.

BD
CRD#: 249
KALAMAZOO, MI
Past

February 15, 1988 - March 30, 1989

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

January 25, 1982 - February 15, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

August 24, 1977 - July 6, 1990

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580

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".
6F
626 FINANCIAL, LLC
626 FINANCIAL | 626 FINANCIAL, LLC

CRD#: 306474 / SEC#: 801-120219

RIA
Registered Investment Advisory firm - (1/22/2021 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.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/2/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/12/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 9/15/1982
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 1/16/1982
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 8/14/1977
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/18/1999
General Securities Principal Examination

Current Firm

6F
626 FINANCIAL, LLC
626 FINANCIAL | 626 FINANCIAL, LLC

CRD#: 306474 / SEC#: 801-120219

RIA
Registered Investment Advisory firm - (1/22/2021 Approved)
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Contact information

Main Address
7950 Moorsbridge Road Suite 104, Portage, MI 49024
Mailing Address
Phone number
(269) 321-5040
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

626 FINANCIAL DISCLOSURE BROCHURE, WRAP FEE PROGRAM BROCHURE, BROCHURE SUPPLEMENTS, AND PRIVACY POLICY (3/5/2025)

Regulatory assets under management

Total Number of Accounts1,179
AUM (Assets Under Management)$ 326,426,686

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.

Company Information

626 FINANCIAL, LLC

CRD#: 306474

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Contact information

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