Robert Darien Tapia

Current Employers

Employment History

• 01/2011 → 01/2017
  Waddell & Reed, Inc.
  Campbell, CA
• 01/2011 → 01/2017
  Various Insurance Carriers For W&R Insurance Agencies, Inc
  Santa Clara, CA
• 01/2017 → Present
  Lpl Financial, Llc
  San Jose, CA
• 01/2017 → 04/2020
  Stratos Wealth Partners, Ltd
  Los Gatos, CA
• 04/2020 → 07/2026
  Mariner Independent Advisor Network, Llc
  Los Gatos, CA
• 06/2026 → Present
  Private Advisor Group, Llc
  Morristown, NJ

Previous Registrations

• 2020-04-02 → 2026-06-26
  Mariner Advisor Network
  Los Gatos, CA
• 2017-01-13 → 2020-04-01
  Stratos Wealth Partners, Ltd
  Los Gatos, CA
• 2011-01-20 → 2017-01-23
  Waddell & Reed
  Seattle, WA
• 2009-06-01 → 2011-02-01
  Morgan Stanley
  San Jose, CA
• 2006-06-15 → 2009-06-01
  Citigroup Global Markets Inc.
  San Jose, CA

Other Businesses

1) 11/21/2022 - No Business Name - Investment Related - Fresno, CA 93730 - Real Estate Rental - Start Date: 10/01/2022 - 1 Hour Per Month/0 Hours During Securities Trading 2) 06/29/2026 - Private Advisor Group - Registered Investment Advisor Hybrid - Investment Related - At Reported Business Location(s) - 160 hours per month/ during trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 6/2026. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-06-07
• S63 Uniform Securities Agent State Law Examination
  2004-05-05

Other Names

• Robert D Tapia
• Robert Tapia