Robert K. Aufhauser
Professional summary
Robert Keith Aufhauser is a registered financial professional currently at BEECH HILL SECURITIES, INC. located in New York, New York.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1983. Robert has worked at 3 firms and has passed the Series 65, Series 63, Series 57TO, Series 99TO, Series 7TO, Series 52TO, SIE, Series 55, Series 5, Series 3, Series 15, Series 7, Series 14, Series 53, Series 4, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Keith Aufhauser's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 9, 2025 - Present
BEECH HILL SECURITIES, INC.
Office #1: 880 Third Avenue 16th Floor, New York, NY 10022June 3, 1997 - November 10, 2025
AUFHAUSER SECURITIES, INC.
December 5, 1983 - May 30, 1996
FREETRADE.COM, 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
(9/4/2025)
(7/9/2025)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 4/1/2000
Limited Representative-Equity Trader ExamSeries 5
Date: 4/3/1985
Interest Rate Options ExaminationSeries 15
Date: 10/22/1984
Foreign Currency Options ExaminationFINRA
Current Firm
BEECH HILL SECURITIES, INC.
CRD#: 24771 / SEC#: , 8-41389
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IANNUZZI, ADOLFO VINCENT | CFO / CCO- MUTUAL FUNDS | 2874669 |
| IANNUZZI, ADOLFO VINCENT | CHIEF EXECUTIVE OFFICER | 2874669 |
| IANNUZZI, ADOLFO VINCENT | PRESIDENT | 2874669 |
| IANNUZZI, ADOLFO VINCENT | OWNER | 2874669 |
| IANNUZZI, ADOLFO VINCENT | CORP SECY | 2874669 |
| CANTOR, PAUL SETH | OWNER | 39844 |
| CATANIA, FERDINANDO JR | CCO - MUNICIPALS | 3263571 |
| FIORINI, DONNA ANNE | EXECUTIVE REPRESENTATIVE | 1289258 |
| FIORINI, DONNA ANNE | CCO - GENERAL COMPLIANCE | 1289258 |
Disclosures
| Regulatory Event | 6 |
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