Expert Review

Robby Bader: Charged by FINRA or not? (Latest Update 2023)

Who is Robby Bader (CRD#: 3176140)?

Robby Bader is a Senior Vice President and Financial Advisor at Raymond James. He works as an advisor to help clients to identify their goals and create a solid plan for achieving them.

Robby is a member of the Solomon Wealth Group investment committee, where he works with his colleagues to oversee and monitor the investments and asset allocations of plans tailored to clients’ goals, needs, and risk tolerance.

Robby was a Senior Vice President Wealth Advisor at Merrill Lynch and a Financial Wealth Advisor at Morgan Stanley before joining Raymond James in April 2018. Ouachita Baptist University awarded him a bachelor’s degree in business with a finance specialisation.

This article is going further into Robby Bader’s past, uncovering hidden disclosures and SEC litigations, as well as analyzing the implications for law.

About Raymond James

Raymond James & Associates, Inc. provides financial services to individuals, corporations, organisations, and municipalities. It primarily works with non-high-net-worth individuals because the firm does not impose a minimum asset amount for its individual financial planning or advisory services. However, each of its investment plans normally requires a minimum commitment, which can range from $5,000 to $2 million.

Raymond James has over 3,000 financial advisors in the United States, Canada, and across the world. The company’s headquarters are located in St. Petersburg, Florida.

History of Raymond James

Raymond James was founded in 1962 by Bob James, who incorporated his corporation as Robert A. James. In 1964, Edward Raymond sold his firm, Raymond & Associates, to James on the condition that James alters the name of his firm to Raymond James & Associates. Raymond James & Associates, Inc. has been a publicly traded company since 1983.

James started the firm on the notion that clients required assistance on all aspects of their financial problems, not simply investing decisions. According to the company, it will continue to focus on long-term planning and systematic decision-making.

Investment Philosophy

Raymond James’ Asset Management Services division provides individual and institutional clients with a diverse spectrum of investment strategies and risk profiles. Its strategies include large and small-size equity, foreign equity, fixed income, and a diverse range of mutual funds and exchange-traded funds (ETFs), which can be utilised separately or in combination.

Clients are recommended investment plans and tactics based on their investment objectives, financial status, and risk tolerance. However, it generally advocates a diversified strategy that includes domestic and international equities and fixed income, as well as other asset classes like as real estate and commodities.

Raymond James’s Services

Many of the firm’s services are customised to specific clients. For example, it provides business succession planning, retirement plans, and transition plan methods to business owners, while it provides capital markets transactions, the sale of real estate or other assets, and the exercise of stock options to persons who have suddenly become wealthy.

Raymond James provides a variety of services, including:

  • Investment solutions
  • Financial planning
  • Retirement planning
  • Estate, charitable giving and trust services
  • Banking and lending services
  • Insurance solutions
  • Institutional services
  • Private wealth services
  • Tax strategies
  • Education planning

Raymond James Awards and Recognition

Throughout its decades in business, Raymond James has received a number of honours and awards. In 2018, 124 Raymond James-affiliated advisors were named to Forbes’ best-in-state wealth advisors list, and six advisors were named to On Wall Street’s list of the top 25 regional advisors under 40.

In 2017, Raymond James was honoured with 17 awards throughout the year, with advisors named to Barron’s top women financial advisors list, Financial Times’ Top 400 financial advisors list and InvestmentNews’ Top 40 Under 40 list. Previous years have garnered similarly impressive numbers of awards.

What is SEC?

The Securities and Exchange Commission (SEC) in the United States is a federal government regulatory agency that works independently. Its main responsibility is to safeguard investors, ensure the securities markets operate in a fair and orderly manner, and facilitate capital formation.

Robby Bader Disclosures: BrokerCheck, FINRA, And SEC

BrokerCheck report of Robby Bader includes information such as employment history, professional qualification, disciplinary actions, criminal convictions, civil judgment, and arbitration awards as well as disclosures events.

Financial Advisors often take down their client disputes from FINRA’s Public database through Disclosure Expungement. Even law firms provide expungement services to FAs so that they can hide or remove their client disputes and maintain a clean record. So the lack of any disclosures on BrokerCheck doesn’t necessarily mean that the broker hasn’t had any disputes in the past.
5/12/2023 Update
As of now, Robby Bade has not responded, nor has he apologized for his misdeeds. He has ignored our efforts to highlight the problems faced by his victims. Furthermore, he has only focused on propagating his fake PR.

BrokerCheck

Source: https://brokercheck.finra.org/individual/summary/3176140

SEC Litigations & Forms

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Source: https://secsearch.sec.gov/search?affiliate=secsearch&sort_by=&query=%27Robby+Bader%27

Robby Bader Lawsuits

Most court cases filed in the United States of America are archived on CourtListener, UniCourt, Law.com, Justia, Trellis, law, and Law360. If Robby Bader has been involved in any such lawsuits, then you can find the documents using the links down below:

There might be more pending lawsuits against Robby Bader which are not listed on these directories. Lawsuit files are often deleted from online directories. So if you cannot find any lawsuits against Robby Bader on these websites, then you can contact the local authorities and check if they have a physical copy of any lawsuits.

Robby Bader Complaints and Legal Battles

The following websites/directories are the best sources for finding complaints, litigations, and disputes against finance advisors. You can find all the complaints against Robby Bader using the websites down below:

Better Alternatives To Robby Bader:

These recommendations are based on the ratings of SmartAsset.com, the biggest financial advisor review platform on the internet.
Screenshot 7

Manages Assets Worth

  • $6,427,792,177

Services

  • Financial planning
  • Portfolio management
  • Selection of other advisors (including private fund managers)
  • Family office and consulting services
Screenshot 8

Manages Assets Worth

  • $4,465,757,285

Services

  • Financial planning
  • Portfolio management
  • Pension consulting
  • Selection of other advisors (including private fund managers)
Screenshot 9

Manages Assets Worth

  • $302,000,000

Services

  • Financial planning
  • Portfolio management

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