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Robert Bobak Fallah

CRD# 1069032·Registered 1982 - 2014
Previously Registered: Being a previously registered professional could mean that Robert 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.

Professional Summary

Robert Bobak Fallah was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1982 - 2014. Robert had worked at 7 firms and has passed the Series 63, Series 7, Series 6, Series 24 and Series 27 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

44 years in the financial services industry

Current & Past Employments

OLYMPUS SECURITIES, LLC·CRD# 114050
BD
New York, NY
May 24, 2012 - August 13, 2014
HALCYON CABOT PARTNERS, LTD.·CRD# 32664
BD
New York, NY
June 17, 2011 - April 5, 2012
MCBARRON CAPITAL LLC·CRD# 131431
BD
Greenwich, CT
May 7, 2007 - May 13, 2009
ARJENT LTD.·CRD# 35909
BD
New York, NY
September 9, 2005 - August 21, 2008
ROBERT TODD FINANCIAL CORP.·CRD# 7423
BD
New York, NY
December 10, 1987 - April 25, 1995
GLOBAL CAPITAL SECURITIES, INC.·CRD# 13358
BD
July 12, 1984 - October 19, 1987
FORESTERS FINANCIAL SERVICES, INC.·CRD# 305
BD
October 20, 1982 - March 20, 1984

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Current Firm

OS
OLYMPUS SECURITIES, LLC

OLYMPUS SECURITIES, LLC | SHEEPS MEADOW SECURITIES, LLC

CRD#: 114050 / SEC#: 8-53392
BD
Terminated by SEC on 03/04/2017

Contact Information

Established

Delaware since 05/16/2001

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
STORM ASSOCIATES, LLCPARENT CO.—
ANGELONE, JOHN PAULPRINCIPAL2792191
CARRAZZA, JAMES MICHAELPRESIDENT, GSP, HEAD OF TRADING, CCO1315804
GREENSTEIN, IVAN HUGHFINOP2626704
MANDELL, ANDREW JASONPRINCIPAL2194970

Disclosures

Regulatory Event

4

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed May 2011About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jun 2005About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Oct 1982About the Series 6 exam

Series 24 — General Securities Principal Examination

Passed Jul 2005About the Series 24 exam

Series 27 — Financial and Operations Principal Examination

Passed Oct 1985About the Series 27 exam

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CRS (Client Relationship Summary)

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

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