Robert L. Starin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Louis Starin, who also goes by Bob Starin, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1981. Robert had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2001 - November 1, 2002
BRECEK & YOUNG ADVISORS, INC.
March 24, 2000 - May 15, 2000
CETERA WEALTH SERVICES, LLC
February 25, 1988 - March 28, 2000
FSC SECURITIES CORPORATION
August 26, 1981 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
August 26, 1981 - February 26, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
August 26, 1981 - February 29, 1988
IDS LIFE INSURANCE COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BRECEK & YOUNG ADVISORS, INC.
CRD#: 40395 / SEC#: 801-51940, 8-49022
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORPORATION | HOLDING COMPANY | |
| DEWALD, TERRANCE SHAWN | SENIOR VP, GENERAL COUNSEL, SECRETARY | 3173980 |
| HEENEY, JAMES MICHEAL | SENIOR VP, SALES SUPERVISION AND OPERATIONS | 3019122 |
| MCWHORTER, STEVEN FORD | CEO, DIRECTOR | 2130681 |
| MILLER, KEVIN JOSEPH | CHIEF COMPLIANCE OFFICER, VP, DEP GEN COUNSEL, PRIVACY, AML, IDENTITY THEFT PROTECTION POLICY, & RISK OFFICER | 4133001 |
| NAGENGAST, JAMES DELWYN | DIRECTOR | 2571451 |
| PARSONS, GAYLE ELIZABETH | VP, TREASURER, FINOP | 2824340 |
| RANNEY, CHRISTOPHER JOHN | PRESIDENT, DIRECTOR | 1708781 |
| WERTHEIM, PAMELA JANINE | DIRECTOR | 1311477 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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