DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

ROBERT JOSEPH CARON

Advisor at WESTMINSTER FINANCIAL ADVISORY CORP

ANDOVER, MA | BEAVERCREEK, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0ba0d45c-a305-6fca-d30d-2ab501d02990

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 24, 2003 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WESTMINSTER FINANCIAL ADVISORY CORP
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 14, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 12
Exams: S66
First exam: Feb 14, 2003
First registration: Feb 24, 2003
Dual registered: yes, broker-dealer
Other names: ROBERT CARON
IAPD individual key: 4592041

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WESTMINSTER FINANCIAL ADVISORY CORP	Independent wealth	Mar 1, 2010	n/a	yes	BEAVERCREEK, OH\|ANDOVER, MA	Current employment
TD WEALTH MANAGEMENT SERVICES INC.	n/a	Nov 4, 2009	Feb 18, 2010	no	RAMSEY, NJ\|LAWRENCE, MA\|TOPSFIELD, MA\|ANDOVER, MA\|NORTH ANDOVER, MA	Previous registration
CETERA INVESTMENT SERVICES LLC	Former SEC adviser	Sep 4, 2007	Nov 17, 2009	no	ANDOVER, MA\|NORTH ANDOVER, MA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 24, 2003	Mar 18, 2005	no	BURLINGTON, MA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
TD WEALTH MANAGEMENT SERVICES INC.	WESTMINSTER FINANCIAL ADVISORY CORP	Feb 18, 2010	Mar 1, 2010	11	Firm change	Other
CETERA INVESTMENT SERVICES LLC	TD WEALTH MANAGEMENT SERVICES INC.	Nov 17, 2009	Nov 4, 2009	-13	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CETERA INVESTMENT SERVICES LLC	Mar 18, 2005	Sep 4, 2007	900	Firm change after gap	Other

Relationships

Registered with (4)

→ WESTMINSTER FINANCIAL ADVISORY CORPRegistered adviserregistration: current employment
Mar 1, 2010 to presentfactForm ADV
→ TD WEALTH MANAGEMENT SERVICES INC.Registered adviserregistration: previous registration
Nov 4, 2009 to Feb 18, 2010factForm ADV
→ CETERA INVESTMENT SERVICES LLCRegistered adviserregistration: previous registration
Sep 4, 2007 to Nov 17, 2009factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Feb 24, 2003 to Mar 18, 2005factForm ADV

Dated events

No dated event names this entity yet.