Robert Surprenant
Robert Surprenant is a registered investment advisor at Commonwealth Financial Network, based in Warwick, RI, with 29 years of industry experience. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 399,450 clients with $210B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Commonwealth Financial Network offers investment management through various programs like PPS Custom, PPS Select, and PPS Direct. Fees are generally calculated as a percentage of your portfolio, including cash and money market positions. The exact fees vary depending on the specific program and the agreement between you and your advisor.
Commonwealth generally offers two types of fee schedules: blended and breakpoint. With a blended schedule, different portions of your portfolio are charged at different rates. With a breakpoint schedule, the fee rate declines as your portfolio value reaches certain levels. All fees are negotiable between the advisor and client.
Location
91 Tollgate Road, Suite 400, Warwick, RI, 02886
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Robert sells fixed insurance, dedicating about 10-20% of his time to this activity. He also co-owns rental property and owns RMS Financial, LLC, a private entity to facilitate his advisory business, but spends no time on these activities during business hours.
Employment History
Current Registrations
Commonwealth Financial Network
Commonwealth Financial NetworkBroker
Previous Registrations
Questar Capital CorporationBroker
Questar Asset Management, INC.
Santander Securities
Santander Securities LLCBroker
LPL Financial LLC
LPL Financial LLCBroker
Waddell & Reed, INC.Broker
Waddell & Reed, INC.
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
Metlife Securities INC.
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
VALIC Financial Advisors, INC.
VALIC Financial Advisors, INC.Broker
Scottrade, INC.Broker
Waterhouse Securities, INC.Broker
Corporate Securities Group, INC.Broker
Securities America, INC.Broker
State Registrations19 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.