Robin C. Calvert
Professional summary
Robin Carter Calvert was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robin is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Robin had worked at 4 firms, which includes CADARET GRANT & CO. INC., ROBERT THOMAS SECURITIES INC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, CITIGROUP GLOBAL MARKETS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 1993 - April 19, 2002
CADARET, GRANT & CO., INC.
December 9, 1987 - December 2, 1993
ROBERT THOMAS SECURITIES, INC
February 22, 1984 - December 23, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 21, 1983 - February 27, 1984
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
