Robert F. Lalonde
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 Frederick Lalonde, who also goes by Rob Lalonde, was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1983. Robert had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2007 - August 2, 2011
B. RILEY WEALTH MANAGEMENT
March 1, 2007 - August 2, 2011
B. RILEY WEALTH MANAGEMENT
January 17, 2003 - March 1, 2007
CAPITAL SECURITIES OF AMERICA, INC.
October 3, 2002 - March 1, 2007
CAPITAL SECURITIES OF AMERICA, INC.
September 9, 2002 - September 26, 2002
WELLS FARGO CLEARING SERVICES, LLC
August 31, 1999 - December 31, 2001
NATCITY INSURANCE SERVICES, INC.
April 7, 1999 - September 1, 1999
IFMG SECURITIES, INC.
January 11, 1999 - September 13, 2002
NATCITY INVESTMENTS, INC.
May 21, 1992 - January 1, 1999
FIFTH THIRD SECURITIES, INC.
May 12, 1989 - May 8, 1992
PRUDENTIAL EQUITY GROUP, LLC
July 21, 1983 - May 3, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 8
Date: 10/24/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
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.
