Robert K. Yarkin
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 Keith Yarkin was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1984. Robert had worked at 15 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2022 - April 29, 2025
CETERA INVESTMENT SERVICES LLC
April 1, 2022 - April 29, 2025
CETERA FINANCIAL SPECIALISTS LLC
April 1, 2022 - April 29, 2025
CETERA ADVISORS LLC
February 29, 2016 - April 29, 2025
CETERA WEALTH SERVICES, LLC
January 19, 2016 - November 29, 2016
VSR FINANCIAL SERVICES, INC.
January 29, 2013 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
March 16, 2005 - February 4, 2013
WESTMINSTER FINANCIAL SECURITIES, INC.
November 19, 2001 - October 13, 2004
SANDS BROTHERS & CO., LTD.
September 5, 2001 - November 27, 2001
BLUESTONE CAPITAL CORP.
May 11, 1996 - January 30, 2001
SSI SECURITIES CORP.
January 2, 1996 - January 2, 2001
GKN SECURITIES CORP.
November 14, 1994 - January 11, 1996
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
June 20, 1990 - November 11, 1994
SSI SECURITIES CORP.
March 3, 1989 - April 4, 1989
BARNETT INVESTMENTS, INC.
April 8, 1988 - April 15, 1989
BARNETT BOND SERVICE, INC.
April 18, 1984 - August 6, 1987
LEHMAN BROTHERS 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
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
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.
