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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

ROBERT DARIEN TAPIA

Advisor at PRIVATE ADVISOR GROUP, LLC

San Jose, CA | MORRISTOWN, NJ

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Search this name across graphsid dfx:ria:d258cd77-f112-1ac7-8d60-4e63cd8c2f17

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 15, 2006 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: PRIVATE ADVISOR GROUP, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 5, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: May 5, 2004
First registration: Jun 15, 2006
Dual registered: yes, broker-dealer
Other names: ROBERT D TAPIA|ROBERT TAPIA
IAPD individual key: 4762978

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
PRIVATE ADVISOR GROUP, LLC	Bd affiliated wealth	Jun 26, 2026	n/a	yes	San Jose, CA\|MORRISTOWN, NJ	Current employment
MARINER ADVISOR NETWORK	Bd affiliated wealth	Apr 2, 2020	Jun 26, 2026	no	Los Gatos, CA	Previous registration
STRATOS WEALTH PARTNERS, LTD	Bd affiliated wealth	Jan 13, 2017	Apr 1, 2020	no	LOS GATOS, CA	Previous registration
WADDELL & REED	Former SEC adviser	Jan 20, 2011	Jan 23, 2017	no	SEATTLE, WA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Feb 1, 2011	no	SAN JOSE, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jun 15, 2006	Jun 1, 2009	no	SAN JOSE, CA	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
MARINER ADVISOR NETWORK	PRIVATE ADVISOR GROUP, LLC	Jun 26, 2026	Jun 26, 2026	0	Bulk transfer	Ibd to ibd
STRATOS WEALTH PARTNERS, LTD	MARINER ADVISOR NETWORK	Apr 1, 2020	Apr 2, 2020	1	Firm change	RIA to RIA
WADDELL & REED	STRATOS WEALTH PARTNERS, LTD	Jan 23, 2017	Jan 13, 2017	-10	Firm change	Other
MORGAN STANLEY	WADDELL & REED	Feb 1, 2011	Jan 20, 2011	-12	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (6)

→ PRIVATE ADVISOR GROUP, LLCRegistered adviserregistration: current employment
Jun 26, 2026 to presentfactForm ADV
→ MARINER ADVISOR NETWORKRegistered adviserregistration: previous registration
Apr 2, 2020 to Jun 26, 2026factForm ADV
→ STRATOS WEALTH PARTNERS, LTDRegistered adviserregistration: previous registration
Jan 13, 2017 to Apr 1, 2020factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Jan 20, 2011 to Jan 23, 2017factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Feb 1, 2011factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jun 15, 2006 to Jun 1, 2009factForm ADV

Dated events

No dated event names this entity yet.