Robert L. Segal

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CRD#: 1257234

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 Lewis Segal 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 Series 63, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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

October 6, 2010 - November 12, 2013

COLORADO FINANCIAL SERVICE CORPORATION

CRD#: 104343

CENTENNIAL, CO

Past

August 14, 1995 - October 7, 2010

AMERICAN CLASSIC SECURITIES, INC.

CRD#: 25399

BURKE, VA

Past

April 24, 1984 - August 11, 1995

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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

State Security Law Exam

Series 63

Date: 4/18/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 4/23/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 3/15/1988

Investment Company Products/Variable Contracts Principal Examination

Current Firm

COLORADO FINANCIAL SERVICE CORPORATION

COLORADO FINANCIAL SERVICE CORPORATION | TURNING POINT RETIREMENT ASSOCIATES | GIA FINANCIAL GROUP, L.L.C.

CRD#: 104343 / SEC#: 801-76716, 8-52817

RIA

Registered Investment Advisory firm - SEC (8/8/2013 Terminated)

Alaska

Registered Investment Advisory firm - SEC (5/7/2024 Approved)

Arizona

Registered Investment Advisory firm - SEC (9/25/2017 Approved)

California

Registered Investment Advisory firm - SEC (7/30/2013 Approved)

Colorado

Registered Investment Advisory firm - SEC (7/24/2013 Approved)

Florida

Registered Investment Advisory firm - SEC (4/23/2013 Approved)

Louisiana

Registered Investment Advisory firm - SEC (8/14/2023 Approved)

Maryland

Registered Investment Advisory firm - SEC (3/24/2022 Terminated)

Montana

Registered Investment Advisory firm - SEC (2/3/2017 Approved)

New Jersey

Registered Investment Advisory firm - SEC (7/29/2013 Approved)

North Carolina

Registered Investment Advisory firm - SEC (8/4/2023 Approved)

Ohio

Registered Investment Advisory firm - SEC (5/19/2017 Approved)

Oregon

Registered Investment Advisory firm - SEC (6/4/2021 Approved)

South Carolina

Registered Investment Advisory firm - SEC (1/3/2018 Approved)

Texas

Registered Investment Advisory firm - SEC (7/14/2023 Approved)

Washington

Registered Investment Advisory firm - SEC (10/12/2017 Approved)

Wyoming

Registered Investment Advisory firm - SEC (1/31/2025 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

188 Inverness Drive West Ste 100, Centennial, CO 80112

Mailing Address

188 Inverness Drive West Suite 100, Centennial, CO 80112

Phone number

(303) 962-7267

Established

Colorado since 06/13/2000

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
COLORADO NATIONAL CORPORATION	OWNER
FELDMAN, KEITH MITCHELL	MUNICIPAL SECURITIES PRINCIPAL	1308772
FELDMAN, KEITH MITCHELL	OPTIONS PRINCIPAL	1308772
FELDMAN, KEITH MITCHELL	GENERAL SECURITIES PRINCIPAL, HEAD OF OPERATIONS	1308772
HEBERT, CHESTER JOSEPH	FINOP	1678446
HEBERT, CHESTER JOSEPH	CHIEF COMPLIANCE OFFICER	1678446
HEBERT, CHESTER JOSEPH	CHAIRMAN, CHIEF EXECUTIVE OFFICER, PRESIDENT	1678446
THON, JAMESON OBRIEN	GENERAL SECURITIES PRINCIPAL, PRESIDENT	7015002
WOODWORTH, ADAM JAMES	COMPLIANCE OFFICER	6952982

Regulatory assets under management

Total Number of Accounts	209
AUM (Assets Under Management)	$ 68,471,136

Disclosures

Regulatory Event

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.

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Robert L. Segal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COLORADO FINANCIAL SERVICE CORPORATION

AMERICAN CLASSIC SECURITIES, INC.

PFS INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/18/1984

Series 6

Date: 4/23/1984

Series 26

Date: 3/15/1988

Current Firm

COLORADO FINANCIAL SERVICE CORPORATION

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

COLORADO FINANCIAL SERVICE CORPORATION

TRUST BUT VERIFY

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