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Robert Faulkner

Huntleigh Advisors, INC.
48 Years of Experience
St. Louis, MO
4 DisclosuresBroker
View SEC Summary
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Robert Faulkner is a registered investment advisor at Huntleigh Advisors, INC., based in St. Louis, MO, with 48 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 Investment Management, Retirement Planning. Their firm serves 1,838 clients with $780M in assets under management.

Huntleigh Advisors, INC.
Compensation
Fee-Only (% of Portfolio)
Firm Size
64 advisors
Number of Clients
1,838 clients
Average Client Portfolio
$425K average
Assets Under Management
$781.8M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M2.00%
$1.0M - $10.0M1.50%
$10M+1.00%

Fees are negotiable based on criteria such as historical relationships, asset types, and account composition.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

7800 Forsyth Blvd, 5th Floor, St. Louis, MO, 63105

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History

Regulatory History (4)
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.
Regulatory
July 2004
Final
Regulatory
February 2003
Final
Employment Separation After Allegations
March 2000
Customer Dispute
February 2000
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Huntleigh Advisors, INC.
April 2001 - Present · 25 yrs 6 mos
Huntleigh Securities CorporationBroker
April 2000 - Present · 26 yrs 6 mos
Previous Registrations
Salomon Smith Barney INC.Broker
July 1993 - April 2000 · 6 yrs 9 mos
Lehman Brothers INC.Broker
April 1984 - July 1993 · 9 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
March 1978 - September 1978 · 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 1978 - April 1984 · 6 yrs 2 mos
State Registrations15 states
ARAZCAFLGAILKSMDMIMOMSNCNYTXVA
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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