Robert Antonacci
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 Antonacci was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 10 firms and has passed the Series 66, Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2006 - June 15, 2009
CUNA BROKERAGE SERVICES, INC.
November 2, 2005 - June 21, 2006
FINANCIAL WEST GROUP
September 27, 2000 - August 2, 2005
CHARTER ONE SECURITIES, INC.
October 22, 1998 - November 18, 1999
BERKSHIRE EQUITY SALES, INC.
November 22, 1995 - May 7, 1998
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
March 29, 1993 - June 30, 1995
PRUCO SECURITIES, LLC.
June 24, 1992 - March 8, 1993
HORNOR, TOWNSEND & KENT, LLC
April 6, 1991 - September 13, 1991
METROPOLITAN LIFE INSURANCE COMPANY
April 6, 1991 - September 13, 1991
MSI FINANCIAL SERVICES, INC.
March 20, 1989 - January 3, 1991
MML INVESTORS SERVICES, LLC
May 9, 1986 - September 26, 1988
PRUCO SECURITIES, LLC.
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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
