Robert James Stapleton

Employer firm

Commonwealth Financial Network CRD 8032

$213B regulatory AUM 20,450 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2010 → 08/2017
  Blue Jay Bar & Grill
  Omaha, NE
• 11/2013 → 08/2017
  Financial West Group
  Westlake Village, CA
• 08/2017 → 07/2019
  Western International Securities, Inc.
  Pasadena, CA
• 07/2019 → Present
  Commonwealth Financial Network
  Waltham, MA
• 07/2019 → Present
  Parker Financial Associates
  Elkhorn, NE

Previous Registrations

• 2017-08-21 → 2019-07-02
  Western International Securities, Inc.
  Crystal Bay, NV
  Omaha, NE
• 2013-11-08 → 2017-08-21
  Financial West Group
  Omaha, NE
• 2013-10-18 → 2013-11-05
  Td Ameritrade, Inc.
  Omaha, NE
  Omaha, NE
• 2013-10-17 → 2013-11-05
  Td Ameritrade Investment Management, Llc
  Omaha, NE

Other Businesses

1. Part Owner, JoSta Investments, LLC, entity est. to own/manage commercial property located in Gretna and Elkhorn, NE, and residential property in Omaha, NE; As of 07/2017; 0% time during regular business hours; Not conducted at branch; Investment related. 2. Fixed insurance sales, as an Agent; As of 05/28/20; 1% time spent during regular business hours; Conducted at branch; Investment related. 3. Owner, Parker Financial Associates, LLC, a private entity established to facilitate securities, advisory, and insurance business; as of 07/01/2019; 100% of time spent during business hours; Conducted at branch; Investment related.

Exams

• S66 Uniform Combined State Law Examination
  2013-10-16
• S63 Uniform Securities Agent State Law Examination
  2012-11-12