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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

ROBERT JOHN HOLTON

Advisor at COMMONWEALTH FINANCIAL NETWORK

Waukesha, WI

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Search this name across graphsid dfx:ria:5a173e40-6b5d-217d-1e9c-e2a7f2232467

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Jul 27, 2009 to Sep 14, 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: COMMONWEALTH FINANCIAL NETWORK
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 15, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jul 15, 2009
First registration: Jul 27, 2009
Dual registered: yes, broker-dealer
Other names: ROBERT HOLTON|Robert J Holton
IAPD individual key: 5660627

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
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Aug 17, 2023	n/a	yes	Waukesha, WI	Current employment
AVANTAX ADVISORY SERVICES	Former SEC adviser	Jun 29, 2022	Sep 5, 2023	no	WAUKESHA, WI	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Mar 24, 2021	Jul 5, 2022	no	MILWAUKEE, WI	Previous registration
BMO HARRIS FINANCIAL ADVISORS, INC	Former SEC adviser	Jun 5, 2017	Mar 24, 2021	no	Milwaukee, WI	Previous registration
JOHNSON WEALTH INC.	Mixed wealth	May 12, 2016	May 10, 2017	no	MILWAUKEE, WI	Previous registration
CLEARY GULL INC.	Former SEC adviser	Jun 6, 2014	Jun 2, 2016	no	MILWAUKEE, WI\|MILWAUKEE, WI	Previous registration
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Jul 2, 2012	Jun 9, 2014	no	BROOKFIELD, WI	Previous registration
FIRST ALLIED SECURITIES, INC.	Former SEC adviser	Jul 27, 2009	Jul 2, 2012	no	BROOKFIELD, WI	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
AVANTAX ADVISORY SERVICES	COMMONWEALTH FINANCIAL NETWORK	Sep 5, 2023	Aug 17, 2023	-19	Firm change	Ibd to ibd
LPL FINANCIAL LLC	AVANTAX ADVISORY SERVICES	Jul 5, 2022	Jun 29, 2022	-6	Firm change	RIA to ibd
BMO HARRIS FINANCIAL ADVISORS, INC	LPL FINANCIAL LLC	Mar 24, 2021	Mar 24, 2021	0	Bulk transfer	Ibd to ibd
JOHNSON WEALTH INC.	BMO HARRIS FINANCIAL ADVISORS, INC	May 10, 2017	Jun 5, 2017	26	Firm change	Other
CLEARY GULL INC.	JOHNSON WEALTH INC.	Jun 2, 2016	May 12, 2016	-21	Firm change	Other
FIRST ALLIED ADVISORY SERVICES, INC.	CLEARY GULL INC.	Jun 9, 2014	Jun 6, 2014	-3	Firm change	Other
FIRST ALLIED SECURITIES, INC.	FIRST ALLIED ADVISORY SERVICES, INC.	Jul 2, 2012	Jul 2, 2012	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
104556:8032:WI:2023-08-22	Sep 5, 2023	Aug 17, 2023	WAUKESHA, WI	Firm change
45309:125557:WI:2016-06-02	Jun 2, 2016	May 12, 2016	MILWAUKEE, WI	Firm change

Relationships

Registered with (8)

→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: current employment
Aug 17, 2023 to presentfactForm ADV
→ AVANTAX ADVISORY SERVICESRegistered adviserregistration: previous registration
Jun 29, 2022 to Sep 5, 2023factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Mar 24, 2021 to Jul 5, 2022factForm ADV
→ BMO HARRIS FINANCIAL ADVISORS, INCRegistered adviserregistration: previous registration
Jun 5, 2017 to Mar 24, 2021factForm ADV
→ JOHNSON WEALTH INC.Registered adviserregistration: previous registration
May 12, 2016 to May 10, 2017factForm ADV
→ CLEARY GULL INC.Registered adviserregistration: previous registration
Jun 6, 2014 to Jun 2, 2016factForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jul 2, 2012 to Jun 9, 2014factForm ADV
→ FIRST ALLIED SECURITIES, INC.Registered adviserregistration: previous registration
Jul 27, 2009 to Jul 2, 2012factForm ADV

Dated events

Occurred
Sep 5, 2023
Advisor changed firm
Robert John Holton left Avantax Advisory Services for Commonwealth Financial Network (registered 2023-08-17)
Form ADVobserved 5 days ago
Occurred
Jul 5, 2022
Advisor changed firm
Robert John Holton left Lpl Financial Llc for Avantax Advisory Services (registered 2022-06-29)
Form ADVobserved 5 days ago