Robert E. Faulkner

HUNTLEIGH ADVISORS

ST. LOUIS, MO 63105

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CRD#: 849152

Professional summary

Robert Earl Faulkner, who also goes by Robert E Faulkner, is a registered financial advisor currently at HUNTLEIGH ADVISORS, INC. located in St. Louis, Missouri and HUNTLEIGH SECURITIES CORPORATION located in St. Louis, Missouri.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. Robert has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 5 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Robert E Faulkner

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) - RIA

Click below to view Robert Earl Faulkner's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 19, 2001 - Present

HUNTLEIGH ADVISORS, INC.

Office #1: 7800 Forsyth Blvd, St. Louis, MO 63105

RIA

CRD#: 113412

ST. LOUIS, MO

Current

April 7, 2000 - Present

HUNTLEIGH SECURITIES CORPORATION

Office #1: 7800 Forsyth Blvd. 5th Floor, St. Louis, MO 63105

CRD#: 7456

St. Louis, MO

Past

July 31, 1993 - April 18, 2000

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 17, 1984 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

March 1, 1978 - September 26, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

Past

February 24, 1978 - April 27, 1984

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

HUNTLEIGH ADVISORS, INC.

HUNTLEIGH ADVISORS, INC. | THE HUNTLEIGH GROUP

CRD#: 113412 / SEC#: 801-62677

RIA

Registered Investment Advisory firm - (1/22/2004 Approved)

Illinois

Registered Investment Advisory firm - (5/7/2004 Terminated)

Missouri

Registered Investment Advisory firm - (11/17/2004 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(5/15/2006)

Arkansas
(4/7/2000)

IAR

Arkansas
(4/1/2019)

California
(4/7/2000)

Florida
(10/24/2000)

IAR

Florida
(12/7/2024)

Georgia
(4/26/2000)

Illinois
(8/25/2006)

Kansas
(5/2/2000)

IAR

Kansas
(10/22/2025)

Maryland
(6/22/2017)

Michigan
(12/19/2012)

Mississippi
(11/2/2012)

Missouri
(4/27/2000)

IAR

Missouri
(4/19/2001)

New York
(12/22/2022)

IAR

New York
(12/22/2022)

Texas
(3/13/2003)

Virginia
(6/4/2020)

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

State Security Law Exam

IAR

Series 65

Date: 9/23/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/16/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 12/12/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 2/18/1978

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

HUNTLEIGH ADVISORS, INC.

HUNTLEIGH ADVISORS, INC. | THE HUNTLEIGH GROUP

CRD#: 113412 / SEC#: 801-62677

RIA

Registered Investment Advisory firm - (1/22/2004 Approved)

Illinois

Registered Investment Advisory firm - (5/7/2004 Terminated)

Missouri

Registered Investment Advisory firm - (11/17/2004 Terminated)

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Contact information

Main Address

7800 Forsyth Blvd. 5th Floor, St. Louis, MO 63105

Mailing Address

Phone number

(314) 236-2400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A & 2B (7/28/2025)

Regulatory assets under management

Total Number of Accounts	1,628
AUM (Assets Under Management)	$ 626,466,687

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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Firm Stability Insights

Robert E. Faulkner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Earl Faulkner's CRS (Customer Relationship Summary).

Certified licenses

Experience

HUNTLEIGH ADVISORS, INC.

HUNTLEIGH SECURITIES CORPORATION

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

HUNTLEIGH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/23/1992

Series 63

Date: 4/16/1980

SIE

Date: 10/1/2018

Series 5

Date: 12/12/1981

Series 7

Date: 2/18/1978

FINRA

Current Firm

HUNTLEIGH ADVISORS, INC.

Contact information

SEC notice filing (38 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HUNTLEIGH ADVISORS, INC.

TRUST BUT VERIFY

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