Robert C. Adams
Professional summary
Robert Charles Adams, who also goes by Bob Adams, is a registered financial professional currently at NATALLIANCE SECURITIES, LLC located in Charlotte, North Carolina.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1970. Robert has worked at 10 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 1, Series 9, Series 10, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Charles Adams's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 1, 2020 - Present
NATALLIANCE SECURITIES, LLC
Office #1: 4201 Congress St, Ste 375, Charlotte, NC 28209October 2, 2017 - April 6, 2020
HILLTOP SECURITIES INC.
July 3, 2017 - October 1, 2017
STONEX FINANCIAL INC.
May 2, 2014 - July 3, 2017
STERNE, AGEE & LEACH, INC.
February 13, 2013 - May 6, 2014
RAYMOND JAMES & ASSOCIATES, INC.
March 8, 2002 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
August 25, 1981 - March 20, 2002
WACHOVIA SECURITIES, INC.
April 21, 1977 - November 26, 1978
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
August 2, 1972 - March 28, 1977
WHITE, WELD & CO. INCORPORATED
February 24, 1970 - November 20, 1972
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/1/2020)
(4/1/2020)
(4/1/2020)
(4/1/2020)
(4/9/2020)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 1
Date: 2/20/1970
Registered Representative ExaminationSeries 8
Date: 3/1/1985
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
NATALLIANCE SECURITIES, LLC
CRD#: 39455 / SEC#: , 8-48723
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATALLIANCE HOLDING COMPANY LLC | OWNER | |
| ADAMS, JASON | BOARD MEMBER | 2690575 |
| BRENNER, ANDREW SCOTT | BOARD MEMBER | 1227535 |
| BUSH, FRED COSTON | CFO/COO | 3075024 |
| CARREON, MICHELLE ELLIS | CCO | 4861485 |
| GIORDANO, MICHAEL JAMES | BOARD MEMBER | 5942248 |
| HENDRICKSON, GEORGE ALEXANDER BROWN | BOARD MEMBER | 2382347 |
| LIEPMAN, JOHN FRANCIS | BOARD MEMBER | 2037298 |
| LOERCH, SAMUEL JAMES | BOARD MEMBER | 1195328 |
| SALTER, MARK MYLES | BOARD MEMBER/CEO/PRESIDENT | 1180139 |
| TAYLOR, BRADFORD STEPHEN | BOARD MEMBER | 5751455 |
Disclosures
| Regulatory Event | 8 |
Red Flags
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