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Robert Vallee

Commonwealth Financial Network
21 Years of Experience
Tewksbury, MA
1 DisclosureBroker
View SEC Summary
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Robert Vallee is a registered investment advisor at Commonwealth Financial Network, based in Tewksbury, MA, with 21 years of industry experience. Robert is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 10 more. Their firm serves 360,488 clients with $210B in assets under management.

Commonwealth Financial Network
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2904 advisors
Number of Clients
360,488 clients
Average Client Portfolio
$590K average
Assets Under Management
$212.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Minimum Annual Fee:$600
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $750K2.25%
$750K - $1.0M2.00%
$1.0M - $2.0M1.75%
$2M+1.50%

Fees are negotiable. Schedule represents maximum allowable annual management fees for PPS Custom programs. Other programs like PPS Select and PPS Direct have separate advisor and program fee schedules.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Tewksbury, MA

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Criminal
September 2002
Final Disposition
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Commonwealth Financial Network
March 2022 - Present · 4 yrs 7 mos
Commonwealth Financial Network
March 2022 - Present · 4 yrs 7 mos
Commonwealth Financial NetworkBroker
March 2022 - Present · 4 yrs 7 mos
Previous Registrations
Santander Securities
August 2016 - February 2022 · 5 yrs 6 mos
Santander Securities LLCBroker
August 2016 - February 2022 · 5 yrs 6 mos
Investors Capital Advisory
June 2016 - August 2016 · 2 mos
Investors Capital CORP.Broker
July 2011 - August 2016 · 5 yrs 1 mo
Ogilvie Security Advisors CorporationBroker
August 2008 - January 2011 · 2 yrs 5 mos
Sun Life Financial Distributors, INC.Broker
June 2007 - April 2008 · 10 mos
Linsco/private Ledger CORP.Broker
August 2006 - July 2007 · 11 mos
Sun Life Financial Distributors, INC.Broker
July 2005 - August 2006 · 1 yr 1 mo
Banc of America Investment Services, INC.Broker
October 2004 - July 2005 · 9 mos
Quick & Reilly, INC.Broker
August 2004 - October 2004 · 2 mos
Nylife Securities INC.Broker
April 2004 - July 2004 · 3 mos
State Registrations1 state
MA
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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