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Robert T. Carbone

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CRD#: 1164143
RC

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 Timothy Carbone was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1984. Robert had worked at 3 firms and has passed the SIE, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 8, 2010 - December 31, 2014

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

BD
CRD#: 37819
WINDSOR, CT
Past

August 24, 2010 - August 30, 2011

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
WINDSOR, CT
Past

August 27, 1984 - October 31, 1990

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 12/31/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/23/2010
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 5/16/2011
Investment Company Products/Variable Contracts Principal Examination

Current Firm

TR
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
HARTFORD SECURITIES DISTRIBUTION COMPANY, INC. | TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

CRD#: 37819 / SEC#: , 8-48097

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One American Row, Hartford, CT 06103
Mailing Address
One American Row, Hartford, CT 06103
Phone number
(860) 791-0000
Established
Connecticut since 08/24/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TALCOTT HOLDINGS, LPPARENT OF APPLICANT
CONNER, CHRISTOPHER SCOTTCHIEF COMPLIANCE OFFICER AND DIRECTOR2239639
DAGNAULT, CHRISTOPHER JOHNCEO, PRESIDENT AND DIRECTOR2311161
MATTHEWS, STILA HSUANPINGAML OFFICER AND ASSISTANT SECRETARY5745148
ROSA, ANTONIO T JRFINOP, CFO AND TREASURER6963656

Disclosures

Regulatory Event1
Arbitration1

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.

Company Information

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

CRD#: 37819

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