Robert L Arroyo

Employer firm

Duncan Financial Planning Advisors CRD 309454

3 advisory clients

Reported services (Item 5G)

Financial planning
THIRD PARTY SOLICITOR AND THIRD PARTY SOLICITOR SUPERVISOR

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

Current Employers

Duncan Financial Planning Advisors

311 Main St., Irwin, PA 15642 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2023-10-30

FL RA
APPROVED

Since 2023-10-30

Branch Locations

22 Hickory Lane, Safety Harbor, FL 34695 • United States

Cambridge Investment Research Advisors, Inc.

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2023-03-06
FL	RA	APPROVED	2021-09-08

TX RA
APPROVED_RES

Since 2023-03-06
FL RA
APPROVED

Since 2021-09-08

Branch Locations

2451 Mcmullen Booth Road, Suite 268, Clearwater, FL 33759 • United States

Safety Harbor, FL • 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
First Allied Advisory Services, Inc.	San Diego	CA	07/2012	11/2020
First Allied Securities, Inc.	San Diego	CA	11/2011	08/2021
First Allied Advisory Services	Schaumburg	IL	11/2020	08/2021
Cambridge Investment Research Advisors, Inc.	Fairfield	IA	08/2021	Present
Cambridge Investment Research, Inc.	Fairfield	IA	08/2021	Present
Duncan Financial Planning Advisors	Irwin	PA	07/2023	Present

07/2012 → 11/2020

First Allied Advisory Services, Inc.

San Diego, CA
11/2011 → 08/2021

First Allied Securities, Inc.

San Diego, CA
11/2020 → 08/2021

First Allied Advisory Services

Schaumburg, IL
08/2021 → Present

Cambridge Investment Research Advisors, Inc.

Fairfield, IA
08/2021 → Present

Cambridge Investment Research, Inc.

Fairfield, IA
07/2023 → Present

Duncan Financial Planning Advisors

Irwin, PA

Previous Registrations

2020-10-26 → 2021-09-03

Cetera Investment Advisers Llc

Tampa, FL
2012-06-07 → 2020-11-12

First Allied Advisory Services, Inc.

Tampa, FL
2011-11-10 → 2012-07-02

First Allied Securities, Inc.

Tampa, FL

Clearwater, FL

Safety Harbor, FL

Safety Harbor, FL

Safety Harbor, FL
2009-05-14 → 2011-11-17

Lpl Financial Llc

Clearwater, FL
2006-12-01 → 2009-05-13

Ubs Financial Services Inc.

Clearwater, FL
2005-11-02 → 2006-12-08

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Clearwater, FL
2004-10-18 → 2005-07-12

Legg Mason Wood Walker, Incorporated

Tampa, FL

Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO 120 HR/MO TRADING, 09/2021. 2) DUNCAN FINANCIAL GROUP LLC DBA DUNCAN FINANCIAL PLANNING ADVISORS, 22 Hickory Lane, Safety Harbor FL 34695, 10/2023, Investment Advisor Representative, Financial Planning and Consulting for a fee, INV REL, 8 HR/MO - 8 HR/MO TRADING 3) ROBERT ARROYO ENTERPRISES INC DBA RLA FINANCIAL, SAFETY HARBOR FL 34695, 04/2009, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE AGENCIES, INV REL, 16 HR/MO 16 HR/MO TRADING 4) HATTERAS ENTERPRISES INC, SAFTEY HARBOR FL 34695, 07/1995, OWNER, VENDING MACHINE DISTRIBUTION, NIR, 16 HR/MO 0 HR/MO TRADING

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-10-13

S66 Uniform Combined State Law Examination

2004-10-13

Other Names

Robert Louis Arroyo
Robert Louis Arroyo

View on SEC IAPD