Robert M. Maltbie
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 Michael Maltbie JR, who also goes by Robert Michael Jr Maltbie, Robertu Michael Maltbie Jr, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 9 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2019 - June 10, 2019
MILLENNIUM ASSET MANAGEMENT LLC
March 25, 2015 - February 6, 2017
BARDI CO. LLC
January 10, 2013 - December 31, 2018
MILLENNIUM ASSET MANAGEMENT LLC
March 30, 2012 - April 3, 2013
BOUSTEAD SECURITIES, LLC
August 19, 2011 - April 30, 2012
COLUMBIA CAPITAL SECURITIES, INC.
September 10, 1999 - December 31, 2012
MILLENNIUM ASSET MANAGEMENT LLC
July 31, 1993 - October 14, 1999
CITIGROUP GLOBAL MARKETS INC.
June 8, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
July 1, 1992 - June 22, 1993
JMC INVESTMENT SERVICES, INC.
December 1, 1988 - January 8, 1992
UBS FINANCIAL SERVICES INC.
April 19, 1983 - November 22, 1988
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MILLENNIUM ASSET MANAGEMENT LLC
CRD#: 120735 / SEC#: 801-77954
Contact information
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| California | ERA - Active | 1/22/2024 |
Red Flags
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