RB
Robert S. Berriman
STONEX ADVISORS
West Suffield, CT
Some features on this profile are disabled
CRD#: 858906
RB
Professional summary
Robert Scott Berriman, who also goes by Bob Berriman, is a registered financial advisor currently at STONEX ADVISORS INC. located in West Suffield, Connecticut and STONEX SECURITIES INC. located in West Suffield, Connecticut.
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 11 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 24, Series 51 and Series 40 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Berriman
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)ONE SOURCE FINANCIAL GROUP INC,
1054 North Grand Street
West Suffield, CT 06093
CORPORATION,
NATURE OF BUS: RET PLAN ADMIN/INS AGENCY, TITLE: PRESIDENT,
DUTIES: SALES/EXEC,
TIME SPENT 90%,
COMPENSATION: COMMISSIONS/FEES,
CRS (Client Relationship Summary) - RIA
Click below to view Robert Scott Berriman's 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®
NoneExperience
Current
January 30, 2015 - Present
STONEX ADVISORS INC.
RIA
CRD#: 174182
West Suffield, CT
Current
September 12, 2014 - Present
STONEX SECURITIES INC.
BD
CRD#: 18456
WEST SUFFIELD, CT
Past
August 31, 2009 - January 30, 2015
WRP INVESTMENTS, INC.
RIA
CRD#: 7365
EAST LONGMEADOW, MA
Past
August 28, 2009 - September 12, 2014
WRP INVESTMENTS, INC.
BD
CRD#: 7365
EAST LONGMEADOW, MA
Past
May 24, 2004 - September 11, 2009
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
EAST LONGMEADOW, MA
Past
May 10, 2001 - May 24, 2004
MAIN STREET MANAGEMENT COMPANY
BD
CRD#: 547
BOSTON, MA
Past
August 28, 1990 - May 18, 2001
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
January 5, 1984 - July 25, 1990
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
October 28, 1983 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 2682
Past
April 13, 1982 - September 14, 1983
MONARCH SECURITIES, INC.
BD
CRD#: 2809
Past
October 7, 1980 - April 21, 1982
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
November 2, 1978 - June 16, 1980
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
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".
SA
STONEX ADVISORS INC.
ABERDEEN FINANCIAL GROUP | WOYTOWICH WISLOSKI INVESTMENT GROUP | WOODEN INVESTMENTS | WILLOWBY ADVISORS | WEALTH MANAGEMENT SOLUTIONS | WAINWRIGHT LAVENTIS | WAHFELD WEALTH MANAGEMENT GROUP | TEWKSBURY FINANCIAL LLC | SYNERGY WEALTH MANAGEMENT | STURM FINANCIAL SERVICES | STREET FINANICAL SERVICES | STRATEGIC FINANCIAL GROUP | STORMS AND ROWDON WEALTH MANAGEMENT | STONEX WEALTH MANAGEMENT | STONEX ADVISORS INC. | STONE FINANCIAL GROUP, LLC | STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. | SPARGER INVESTMENTS | SMART MONEY STRATEGIES, INC. | SA STONE INVESTMENT ADVISORS INC. | RON COITE & ASSOCIATES | ROBERTS WEALTH MANAGEMENT | RKB INVESTMENTS | RIVER FINANCIAL SERVICES | RICHMOND FINANCIAL LLC | REGENCY FINANICAL GROUP, LLC | REDSTONE FINANCIAL ADVISORS | QUARRY LAKES FINANCIAL GROUP | PARTNERS FINANCIAL GROUP, LLC | ONE SOURCE FINANCIAL GROUP | OLDE HICKORY FINANCIAL SERVICES, LLC | OAK CREST FINANCIAL PARTNERS LLC | NUFRIO WEALTH MANAGEMENT | NEBEL FINANCIAL | MORRIS, SMITH & HAYDEN WEALTH MANAGEMENT | MAX WEALTH MANAGEMENT | MANAGED LEGACY WEALTH COUNSEL | LIFESCOPE PLANNING AND INVESTMENT SERVICES | LEGACY INVESTMENT PLANNING | LANNIGAN SECURITIES | LANEY FINANCIAL | LANCE HOCUTT FINANCIAL GROUP | LAKE NORMAN ADVISORS LLC | KPJ FINANCIAL SERVICES | KEVIN DICK ASSET MANAGEMENT CO | KENNARD FINANCIAL SERVICES | KEITH FORD AND ASSOCIATES | KAIROS FINANCIAL MANAGEMENT | INVESTMENT SECURITIES GROUP, INC. | INTEGRARISK CORP | IM WEALTH PARTNERS | HOVANIC WEALTH SOLUTIONS | HLM FINANCIAL SERVICES, INC. | HIZNAY & ASSOCIATES | HENRY WEALTH MANAGEMENT | HENDERSON FINANCIAL SERVICES | HEADWATER ASSET MANAGEMENT, LLC | GUARDIAN WEALTH FINANCIAL | GRUDZINSKI FINANCIAL SERVICES | GRANDVIEW WEALTH ADVISORS | GEORGE STRATEGIC WEALTH | ELLEDGE, BAIN, SIDES, LLC | EAGLE CREEK WEALTH MANAGEMENT, LLC | DON LEDFORD ASSOCIATES, LLC | DILWORTH FINANCIAL SERVICES | DCP ASSET MANAGEMENT, LLC | CWT FINANCIAL | CRESS WEALTH STRATEGIES | COX FINANCIAL CORPORATION | CORLEY WEALTH MANAGEMENT | CONSERVATIVE CONCEPTS, INC. | COMPASS WEALTH MANAGEMENT, LLC | CHAD J. KARL | BUSSEY CAPITAL MANAGEMENT, LLC | BURLESON DAWKINS INC. | BARNEGAT FINANCIAL | BARKO FINANCIAL | AFFILIATED FINANCIAL PLANNERS, LLC
CRD#: 174182 / SEC#: 801-80747
RIA
Registered Investment Advisory firm - (12/17/2014 Approved)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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(9/12/2014)
RR
Connecticut(9/12/2014)
IAR
Connecticut(1/30/2015)
RR
Florida(9/12/2014)
RR
Maine(1/2/2015)
RR
Maryland(9/12/2014)
RR
Massachusetts(9/12/2014)
RR
New Hampshire(11/28/2014)
RR
New Jersey(9/12/2014)
RR
New York(9/12/2014)
RR
Ohio(9/12/2014)
RR
Pennsylvania(9/25/2018)
RR
Rhode Island(11/1/2024)
RR
South Carolina(9/12/2014)
RR
Vermont(9/12/2014)
RR
Virginia(1/2/2020)
RR
Washington(9/12/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 40
Date: 10/28/1978
Registered Principal ExaminationSRO Registrations
RR
FINRA
Current Firm
SA
STONEX ADVISORS INC.
ABERDEEN FINANCIAL GROUP | WOYTOWICH WISLOSKI INVESTMENT GROUP | WOODEN INVESTMENTS | WILLOWBY ADVISORS | WEALTH MANAGEMENT SOLUTIONS | WAINWRIGHT LAVENTIS | WAHFELD WEALTH MANAGEMENT GROUP | TEWKSBURY FINANCIAL LLC | SYNERGY WEALTH MANAGEMENT | STURM FINANCIAL SERVICES | STREET FINANICAL SERVICES | STRATEGIC FINANCIAL GROUP | STORMS AND ROWDON WEALTH MANAGEMENT | STONEX WEALTH MANAGEMENT | STONEX ADVISORS INC. | STONE FINANCIAL GROUP, LLC | STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. | SPARGER INVESTMENTS | SMART MONEY STRATEGIES, INC. | SA STONE INVESTMENT ADVISORS INC. | RON COITE & ASSOCIATES | ROBERTS WEALTH MANAGEMENT | RKB INVESTMENTS | RIVER FINANCIAL SERVICES | RICHMOND FINANCIAL LLC | REGENCY FINANICAL GROUP, LLC | REDSTONE FINANCIAL ADVISORS | QUARRY LAKES FINANCIAL GROUP | PARTNERS FINANCIAL GROUP, LLC | ONE SOURCE FINANCIAL GROUP | OLDE HICKORY FINANCIAL SERVICES, LLC | OAK CREST FINANCIAL PARTNERS LLC | NUFRIO WEALTH MANAGEMENT | NEBEL FINANCIAL | MORRIS, SMITH & HAYDEN WEALTH MANAGEMENT | MAX WEALTH MANAGEMENT | MANAGED LEGACY WEALTH COUNSEL | LIFESCOPE PLANNING AND INVESTMENT SERVICES | LEGACY INVESTMENT PLANNING | LANNIGAN SECURITIES | LANEY FINANCIAL | LANCE HOCUTT FINANCIAL GROUP | LAKE NORMAN ADVISORS LLC | KPJ FINANCIAL SERVICES | KEVIN DICK ASSET MANAGEMENT CO | KENNARD FINANCIAL SERVICES | KEITH FORD AND ASSOCIATES | KAIROS FINANCIAL MANAGEMENT | INVESTMENT SECURITIES GROUP, INC. | INTEGRARISK CORP | IM WEALTH PARTNERS | HOVANIC WEALTH SOLUTIONS | HLM FINANCIAL SERVICES, INC. | HIZNAY & ASSOCIATES | HENRY WEALTH MANAGEMENT | HENDERSON FINANCIAL SERVICES | HEADWATER ASSET MANAGEMENT, LLC | GUARDIAN WEALTH FINANCIAL | GRUDZINSKI FINANCIAL SERVICES | GRANDVIEW WEALTH ADVISORS | GEORGE STRATEGIC WEALTH | ELLEDGE, BAIN, SIDES, LLC | EAGLE CREEK WEALTH MANAGEMENT, LLC | DON LEDFORD ASSOCIATES, LLC | DILWORTH FINANCIAL SERVICES | DCP ASSET MANAGEMENT, LLC | CWT FINANCIAL | CRESS WEALTH STRATEGIES | COX FINANCIAL CORPORATION | CORLEY WEALTH MANAGEMENT | CONSERVATIVE CONCEPTS, INC. | COMPASS WEALTH MANAGEMENT, LLC | CHAD J. KARL | BUSSEY CAPITAL MANAGEMENT, LLC | BURLESON DAWKINS INC. | BARNEGAT FINANCIAL | BARKO FINANCIAL | AFFILIATED FINANCIAL PLANNERS, LLC
CRD#: 174182 / SEC#: 801-80747
RIA
Registered Investment Advisory firm - (12/17/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243
Mailing Address
Phone number
(800) 292-2411
Established
Firm type
Fiscal year end
# of Employees
233
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,988 |
| AUM (Assets Under Management) | $ 4,515,278,523 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/27/2025 | ||
| 02/27/2024 | ||
| 01/20/2023 |
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.
