Robert K. Hather

HATHER, ROBERT K

San Luis Obispo, CA

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CRD#: 862855

Professional summary

Robert Kevin Hather is a registered financial advisor currently at HATHER, ROBERT K located in San Luis Obispo, California.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. Robert has worked at 3 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Trustee of the Maureen Roffoni IRR Tr DTD 2009 and Diedre Roffoni IRR Tr DTD 2009 and Trustee of the Roffoni Living Tr DTD 1988. Time spent can be from 0-3 hours per day

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Kevin Hather'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®

None

Experience

Current

October 21, 2020 - Present

HATHER, ROBERT K

RIA

CRD#: 139951

San Luis Obispo, CA

Past

May 13, 2003 - June 6, 2006

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SAN LUIS OBISPO, CA

Past

September 4, 1990 - June 6, 2006

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SAN LUIS OBISPO, CA

Past

February 26, 1979 - September 4, 1990

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

CRD#: 76

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.

Highlighted states indicate IAR registrations

IAR

California
(10/21/2020)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/28/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/21/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 5/2/1983

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/17/1979

General Securities Representative Examination

Current Firm

HATHER, ROBERT K

HATHER, ROBERT K | HATHER, ROBERT KEVIN

CRD#: 139951 / SEC#:

California

Registered Investment Advisory firm - (5/4/2006 Approved)

Washington

Registered Investment Advisory firm - (6/15/2020 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).

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Contact information

Main Address

San Luis Obispo, CA

Mailing Address

Phone number

(805) 459-1841

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	12
AUM (Assets Under Management)	$ 10,468,790

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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Robert K. Hather

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Kevin Hather's CRS (Customer Relationship Summary).

Certified licenses

Experience

HATHER, ROBERT K

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 4/28/1994

Series 63

Date: 2/21/1985

Series 3

Date: 5/2/1983

Series 7

Date: 2/17/1979

Current Firm

HATHER, ROBERT K

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HATHER, ROBERT K

TRUST BUT VERIFY

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