Robert J. Fink
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 Johnson Fink JR, who also goes by Robert Johnson Fink, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1984. Robert had worked at 12 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2019 - October 6, 2021
DAIWA CAPITAL MARKETS AMERICA INC.
April 4, 2017 - May 15, 2019
JANNEY MONTGOMERY SCOTT LLC
January 13, 2016 - January 3, 2017
C. L. KING & ASSOCIATES, INC.
August 13, 2012 - January 12, 2016
MESIROW FINANCIAL, INC.
May 2, 2011 - August 6, 2012
MUFG SECURITIES AMERICAS INC.
August 2, 2010 - June 28, 2011
WALL STREET ACCESS
January 3, 2008 - August 3, 2010
CANTOR FITZGERALD & CO.
August 30, 2004 - December 13, 2007
NATWEST MARKETS SECURITIES INC.
January 31, 2001 - August 18, 2004
BARCLAYS CAPITAL INC.
February 4, 1994 - December 21, 2000
J.P. MORGAN SECURITIES INC.
August 14, 1986 - April 28, 1994
UBS SECURITIES LLC
September 25, 1984 - August 23, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 7TO
Date: 3/29/2024
General Securities Representative ExaminationCurrent Firm
DAIWA CAPITAL MARKETS AMERICA INC.
CRD#: 1576 / SEC#: , 8-12242
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAIWA CAPITAL MARKETS AMERICA HOLDINGS INC. | SHAREHOLDER | |
| AIZAWA, GAKU | MANAGING DIRECTOR / MEMBER OF THE BOARD OF DIRECTORS | 1763967 |
| GREFE, JOHN HERBERT III | EXECUTIVE DIRECTOR - CHIEF COMPLIANCE OFFICER | 3275699 |
| MACHIDA, KEIJI | PRESIDENT / CEO & CHAIRMAN (BOARD OF DIRECTOR) | 7273228 |
| PARRY, GEORGE L | CFO / TREASURER | 3221390 |
| SAMBONGI, TOHRU | MANAGING DIRECTOR / CO-HEAD OF FIXED INCOME | 7302894 |
| UEJIMA, EIJI | MANAGING DIRECTOR / CO-HEAD OF EQUITY DIVISION | 8039040 |
| YAMAUCHI, MASAHIRO | DEPUTY PRESIDENT / MEMBER OF THE BOARD OF DIRECTORS | 7920876 |
Disclosures
| Regulatory Event | 30 |
Red Flags
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