Robert B. Lohmann
Professional summary
Robert Bruce Lohmann was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Robert had worked at 6 firms, which includes HD BROUS & CO. INC., FIRST MONTAUK SECURITIES CORP., OSAIC WEALTH INC., INTEGRATED RESOURCES EQUITY CORPORATION, WALL STREET ACCESS, FIRST JERSEY SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 1999 - September 25, 2002
HD BROUS & CO., INC.
November 30, 1998 - February 5, 1999
FIRST MONTAUK SECURITIES CORP.
November 19, 1989 - May 18, 1998
OSAIC WEALTH, INC.
February 25, 1985 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
June 6, 1983 - December 14, 1984
WALL STREET ACCESS
January 6, 1982 - February 12, 1982
FIRST JERSEY SECURITIES, INC.
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
Series 55
Date: 1/27/2000
Limited Representative-Equity Trader ExamCurrent Firm
HD BROUS & CO., INC.
CRD#: 22062 / SEC#: , 8-39382
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROUS, ELLEN | SECRETARY | 2375949 |
| BROUS, HOWARD DAVID | CHAIRMAN OF THE BOARD | 31868 |
| BROUS, ROBERT JASON | CHIEF EXECUTIVE OFFICER | 2999689 |
| DILLON, JOHN JOSEPH | DIRECTOR OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | 4470999 |
| GREEN, RUSSELL PAUL | CROP & SROP | 1391627 |
| REINKRAUT, BARRY A | FINOP | 1696327 |
| SINE, BARRY MICHAEL | SUPERVISORY ANALYST | 2155603 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 1 |
Red Flags
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