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Robert B. Setser

Some features on this profile are disabled
CRD#: 1005169
RS

Professional summary

Robert Bailey Setser was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Robert is a previously registered financial advisor and started their career in finance in 1981. Prior to being barred, Robert had worked at 11 firms, which includes NEWPORT COAST SECURITIES INC., J P TURNER & COMPANY CAPITAL MANAGEMENT LLC, J.P. TURNER & COMPANY L.L.C., DIRECT CAPITAL SECURITIES INC., CHARTER PACIFIC SECURITIES LLC, BERTHEL FISHER & COMPANY FINANCIAL SERVICES INC., EPLANNING SECURITIES INC., SECURITIES AMERICA INC., FIDELITY EQUITY SERVICES CORPORATION, JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, SIGNATOR INVESTORS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 10, 2010 - August 24, 2012

NEWPORT COAST SECURITIES, INC.

RIA
CRD#: 16944
REDWOOD CITY, CA
Past

October 28, 2010 - October 28, 2010

NEWPORT COAST SECURITIES, INC.

RIA
CRD#: 16944
REDWOOD CITY, CA
Past

October 14, 2010 - August 24, 2012

NEWPORT COAST SECURITIES, INC.

BD
CRD#: 16944
REDWOOD CITY, CA
Past

August 5, 2009 - October 15, 2010

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

RIA
CRD#: 124446
SAN BRUNO, CA
Past

July 28, 2009 - October 15, 2010

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
SAN BRUNO, CA
Past

August 5, 2008 - March 2, 2009

DIRECT CAPITAL SECURITIES, INC.

BD
CRD#: 29639
FOSTER CITY, CA
Past

January 22, 2008 - August 7, 2008

CHARTER PACIFIC SECURITIES, LLC

BD
CRD#: 144528
BURLINGAME, CA
Past

February 16, 2005 - August 5, 2005

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RIA
CRD#: 13609
BURLINGAME, CA
Past

January 16, 2004 - January 24, 2008

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BD
CRD#: 13609
BURLINGAME, CA
Past

January 26, 2001 - January 21, 2004

EPLANNING SECURITIES, INC.

BD
CRD#: 46000
ROSEVILLE, CA
Past

April 13, 1993 - February 13, 2001

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

September 2, 1992 - January 1, 1994

FIDELITY EQUITY SERVICES CORPORATION

BD
CRD#: 17455
Past

November 26, 1981 - December 14, 1990

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
BOSTON, MA
Past

November 26, 1981 - December 14, 1990

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/12/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/1/1996
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/6/1981
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 8/16/1993
Investment Company Products/Variable Contracts Principal Examination

Current Firm

NC
NEWPORT COAST SECURITIES, INC.
GRANT BETTINGEN, INC. | NEWPORT COAST SECURITIES, INC. | NEWPORT COAST SECURITIES | NEWPORT COAST ASSET MANAGEMENT

CRD#: 16944 / SEC#: 801-67802, 8-34790

BD
Terminated by SEC on 10/02/2016
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Contact information

Main Address
1720 Garry Ave. #108, Santa Ana, CA 92705
Mailing Address
Phone number
Established
California since 03/06/1985
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

PART 2A (3/18/2016)

Direct owners and executive officers

NamePositionCRD#
RUBICON FINANCIAL INCORPORATEDOWNER
KESSLER, KRISTOPHER CHARLESCOO4543640
LEE, KEVIN CHONGCHIEF COMPLIANCE OFFICER3143283
ONESTO, RICHARD ERNESTFINOP/CFO2453096
ONESTO, RICHARD ERNESTCEO2453096

Disclosures

Regulatory Event12
Arbitration7

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

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