Robert D. Kuchman
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 Daniel Kuchman, who also goes by Bob Kuchman, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1982. Robert had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 3, Series 7 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
April 3, 2009 - March 19, 2019
LPL FINANCIAL LLC
April 3, 2009 - March 19, 2019
LPL FINANCIAL LLC
November 13, 2007 - March 26, 2009
TRANSAMERICA INVESTMENT MANAGEMENT, LLC
November 12, 2007 - March 26, 2009
TRANSAMERICA CAPITAL, LLC
March 21, 2007 - November 15, 2007
NORTHERN TRUST SECURITIES, INC.
March 20, 2007 - November 15, 2007
NORTHERN TRUST SECURITIES, INC.
June 5, 2006 - October 6, 2006
BLACKROCK FINANCIAL MANAGEMENT, INC
October 5, 2004 - June 6, 2006
BLACKROCK CAPITAL MANAGEMENT, INC.
August 13, 2003 - October 6, 2006
BLACKROCK INVESTMENTS, LLC
August 4, 2000 - August 19, 2003
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
January 28, 1999 - July 11, 2000
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
May 11, 1998 - December 21, 1998
CAPITAL BROKERAGE CORPORATION
March 11, 1994 - March 10, 1998
UBS FINANCIAL SERVICES INC.
November 26, 1985 - March 3, 1994
MORGAN STANLEY DW INC.
November 15, 1983 - November 29, 1985
E. F. HUTTON & COMPANY INC
October 20, 1982 - October 28, 1983
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 15
Date: 3/28/1984
Foreign Currency Options ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
