Robert A. Doto
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 Anthony Doto was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 15, Series 5, 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
March 20, 2018 - April 12, 2018
HB SECURITIES, LLC
October 9, 2015 - September 22, 2016
GATES CAPITAL CORPORATION
May 18, 2010 - November 6, 2013
J.P. MORGAN SECURITIES LLC
May 2, 2008 - August 18, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 1, 2008 - August 18, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 21, 2007 - May 1, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 7, 2007 - May 1, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 15, 2006 - May 1, 2008
UST SECURITIES CORP.
January 5, 2005 - December 7, 2005
MANORHAVEN CAPITAL LLC
June 19, 2003 - December 31, 2004
ELYSTAN PARTNERS LLC
May 22, 1998 - May 29, 2002
MANORHAVEN CAPITAL LLC
September 2, 1997 - May 26, 1998
SBC WARBURG DILLON READ INC.
November 16, 1992 - September 2, 1997
SBC WARBURG, INC.
February 24, 1992 - November 19, 1992
CANTOR FITZGERALD SECURITIES
February 10, 1992 - November 24, 1992
CANTOR FITZGERALD & CO.
June 25, 1991 - October 7, 1991
SANWA UNIVERSAL SECURITIES CO., LLC
May 10, 1991 - October 7, 1991
SANWA SECURITIES (USA) CO., L.P.
May 24, 1990 - January 7, 1991
CREDIT SUISSE SECURITIES (USA) LLC
April 19, 1983 - May 8, 1990
SALOMON BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 15
Date: 5/9/1983
Foreign Currency Options ExaminationSeries 5
Date: 5/6/1983
Interest Rate Options ExaminationCurrent Firm
HB SECURITIES, LLC
CRD#: 140356 / SEC#: , 8-67307
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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