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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

Robert James Stapleton

Advisor at COMMONWEALTH FINANCIAL NETWORK

Elkhorn, NE | Lincoln, NE

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Search this name across graphsid dfx:ria:d4c5ba36-c74d-5ee6-c1b8-649d2813d03d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 17, 2013 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: 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: Oct 1, 2010earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Nov 12, 2012
First registration: Oct 17, 2013
Dual registered: yes, broker-dealer
IAPD individual key: 6124388

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	Jul 5, 2019	n/a	yes	Elkhorn, NE\|Lincoln, NE	Current employment
WESTERN INTERNATIONAL SECURITIES	Former SEC adviser	Aug 21, 2017	Jul 2, 2019	no	Crystal Bay, NV\|Omaha, NE	Previous registration
FINANCIAL WEST GROUP	Former SEC adviser	Nov 8, 2013	Aug 21, 2017	no	OMAHA, NE	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Oct 18, 2013	Nov 5, 2013	no	OMAHA, NE\|OMAHA, NE	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Oct 17, 2013	Nov 5, 2013	no	OMAHA, NE	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
WESTERN INTERNATIONAL SECURITIES	COMMONWEALTH FINANCIAL NETWORK	Jul 2, 2019	Jul 5, 2019	3	Firm change	RIA to ibd
FINANCIAL WEST GROUP	WESTERN INTERNATIONAL SECURITIES	Aug 21, 2017	Aug 21, 2017	0	Bulk transfer	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Nov 5, 2013	Oct 18, 2013	-18	Channel change	Other
TD AMERITRADE, INC.	FINANCIAL WEST GROUP	Nov 5, 2013	Nov 8, 2013	3	Firm change	Other

Team moves

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

Team	Left	Joined	From	Kind
39262:8032:NE:2019-06-24	Jul 2, 2019	Jul 5, 2019	OMAHA, NE	Firm change

Relationships

Registered with (5)

→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: current employment
Jul 5, 2019 to presentfactForm ADV
→ WESTERN INTERNATIONAL SECURITIESRegistered adviserregistration: previous registration
Aug 21, 2017 to Jul 2, 2019factForm ADV
→ FINANCIAL WEST GROUPRegistered adviserregistration: previous registration
Nov 8, 2013 to Aug 21, 2017factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Oct 17, 2013 to Nov 5, 2013factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Oct 18, 2013 to Nov 5, 2013factForm ADV

Dated events

No dated event names this entity yet.