Robert S. Lipsey
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 Scott Lipsey, CFP®, who also goes by Bob Lipsey, Robert S Lipsey, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1982. Robert had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 27 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
May 30, 2014 - February 9, 2016
BA SECURITIES, LLC
July 1, 2010 - July 26, 2012
CETERA WEALTH SERVICES, LLC
June 29, 2010 - July 26, 2012
CETERA WEALTH SERVICES, LLC
May 5, 2009 - May 25, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 1, 2009 - May 25, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 30, 2008 - April 29, 2009
CETERA WEALTH SERVICES, LLC
May 30, 2008 - April 29, 2009
CETERA WEALTH SERVICES, LLC
October 17, 2002 - April 3, 2008
PRINCIPAL SECURITIES, INC.
October 17, 2002 - April 3, 2008
PRINCIPAL SECURITIES, INC.
September 5, 2000 - October 28, 2002
1717 CAPITAL MANAGEMENT COMPANY
July 28, 2000 - October 28, 2002
1717 CAPITAL MANAGEMENT COMPANY
August 1, 1994 - June 13, 2000
MAFG RIA SERVICES, INC.
August 20, 1992 - August 23, 1994
FFP SECURITIES, INC.
June 24, 1983 - August 19, 1992
CINCINNATI ANALYSTS, INC.
August 25, 1982 - August 2, 1983
PRUCO SECURITIES, LLC.
July 20, 1982 - August 2, 1983
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
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
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
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.
