RC
Robert L. Compton
RED OAK FINANCIAL GROUP
Towson, MD 21204
Some features on this profile are disabled
CRD#: 860283
RC
Professional summary
Robert Lester Compton JR, who also goes by Bob Compton Jr, is a registered financial advisor currently at RED OAK FINANCIAL GROUP located in Towson, Maryland and LPL FINANCIAL LLC located in Towson, Maryland.
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 5 firms and has passed the Series 65, Series 6TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Compton Jr
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. 06/03/2014 - Jarrettsville Federal Savings Bank - FOR-PROFIT BOARD MEMBER - I AM NOT THE REP OF RECORD; THERE ARE 7 BOARD MEMBERS; COMPANY IS NOT PUBLICLY TRADED AND NOT RAISING CAPITAL; I AM NOT PROVIDING INVESTMENT ADVICE TO THE BOARD; MAJORITY VOTE REQUIRED - TOWSON, MD 2. 12/15/2021 - Red Oak Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/03/2022 - 100 Hours Per Month/100 Hours During Securities Trading. 3. 12/15/2021 - Red Oak Financial - Investment Related - At Reported Business Location(s) - Third Party Administrator (TPA) - Start Date: 01/03/2022 - 40 Hours Per Month/40 Hours During Securities Trading. 4. 03/16/2022 - Red Oak Financial Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date - 01/03/2022 - 5 Hours Per Month/5 Hours During Securities Trading - Time Spent 5% - I provide investment advisory services through Red Oak Financial Group, an independent investment advisor firm. I started this business activity in 2/2022. 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.advisorinfo.sec.gov/IAPD. This firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Lester Compton JR'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
May 3, 2018 - Present
RED OAK FINANCIAL GROUP
Office #1: 403 Allegheny Avenue, Towson, MD 21204RIA
CRD#: 166912
Towson, MD
Current
June 17, 2005 - Present
LPL FINANCIAL LLC
Office #1: 403 Allegheny Ave, Towson, MD 21204-4214RIA
BD
CRD#: 6413
Towson, MD
Past
April 26, 2018 - May 7, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
STREET, MD
Past
August 16, 1993 - June 22, 2005
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
June 17, 1982 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
BD
CRD#: 10293
Past
December 6, 1978 - June 22, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
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".
RO
RED OAK FINANCIAL GROUP
COMPTON FINANCIAL GROUP | RED OAK RETIREMENT | RED OAK FINANCIAL GROUP | COMPTON FINANCIAL GROUP, LLC
CRD#: 166912 / SEC#: 801-80860
RIA
Registered Investment Advisory firm - (1/21/2015 Approved)Maryland
Registered Investment Advisory firm - (5/26/2015 Terminated)Texas
Registered Investment Advisory firm - (5/12/2015 Terminated)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
Florida(3/15/2024)
RR
Maryland(5/3/2018)
IAR
Maryland(5/3/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 11/29/1978
Registered Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
RO
RED OAK FINANCIAL GROUP
COMPTON FINANCIAL GROUP | RED OAK RETIREMENT | RED OAK FINANCIAL GROUP | COMPTON FINANCIAL GROUP, LLC
CRD#: 166912 / SEC#: 801-80860
RIA
Registered Investment Advisory firm - (1/21/2015 Approved)Maryland
Registered Investment Advisory firm - (5/26/2015 Terminated)Texas
Registered Investment Advisory firm - (5/12/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
403 Allegheny Avenue, Towson, MD 21204
Mailing Address
Phone number
(410) 321-0168
Established
Firm type
Fiscal year end
# of Employees
20
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,700 |
| AUM (Assets Under Management) | $ 836,788,025 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
