Robert Edward Fairbrothers

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2026-01-21
CO	RA	APPROVED	2026-01-21
FL	RA	APPROVED	2026-01-21
RI	RA	APPROVED	2026-01-21
SC	RA	APPROVED	2026-01-21
CT	RA	APPROVED	2021-07-21
GA	RA	APPROVED	2021-07-21
TX	RA	APPROVED_RES	2021-07-21

CA RA
APPROVED

Since 2026-01-21
CO RA
APPROVED

Since 2026-01-21
FL RA
APPROVED

Since 2026-01-21
RI RA
APPROVED

Since 2026-01-21
SC RA
APPROVED

Since 2026-01-21
CT RA
APPROVED

Since 2021-07-21
GA RA
APPROVED

Since 2021-07-21
TX RA
APPROVED_RES

Since 2021-07-21

Branch Locations

1300 Division Rd Ste 201 Ste 201, West Warwick, RI 02893 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Oppenheimer & Co	Providence	RI	04/2014	08/2020
Waddell & Reed, Inc.	West Warwick	RI	08/2020	07/2021
Various Insurance Carriers For W&R Insurance Agencies	Johnston	RI	08/2020	07/2021
Lpl Financial Llc	West Warwick	RI	07/2021	Present

04/2014 → 08/2020

Oppenheimer & Co

Providence, RI
08/2020 → 07/2021

Waddell & Reed, Inc.

West Warwick, RI
08/2020 → 07/2021

Various Insurance Carriers For W&R Insurance Agencies

Johnston, RI
07/2021 → Present

Lpl Financial Llc

West Warwick, RI

Previous Registrations

2020-08-28 → 2021-07-21

Waddell & Reed

Hamden, CT

West Warwick, RI
2014-04-28 → 2020-09-04

Oppenheimer & Co. Inc.

Providence, RI
2011-01-10 → 2014-04-28

Janney Montgomery Scott Llc

Warwick, RI

Other Businesses

1. 08/01/2020 - HUTCHINSON FINANCIAL/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ WEST WARWICK, RI 2. 11/22/2022 - SARDELLI & HUTCHINSON WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 11/08/2022 - 0 Hours Per Month/0 Hours During Securities Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2000-12-16
S63	Uniform Securities Agent State Law Examination	1988-05-03

S65 Uniform Investment Adviser Law Examination

2000-12-16
S63 Uniform Securities Agent State Law Examination

1988-05-03

Other Names

Robert Edward Fairbrothers
Robert Edward Fairbrothers

View on SEC IAPD