Robert J. Holub
Professional summary
Robert Jay Holub was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Robert had worked at 5 firms, which includes ROUND HILL SECURITIES INC., VANGUARD CAPITAL, PRUDENTIAL EQUITY GROUP LLC, LEHMAN BROTHERS INC., E. F. HUTTON & COMPANY INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 1997 - October 30, 2002
ROUND HILL SECURITIES, INC.
December 9, 1993 - December 31, 1996
ROUND HILL SECURITIES, INC.
July 12, 1991 - December 17, 1993
VANGUARD CAPITAL
January 31, 1990 - July 16, 1991
PRUDENTIAL EQUITY GROUP, LLC
October 9, 1985 - February 13, 1990
LEHMAN BROTHERS INC.
January 23, 1985 - September 20, 1985
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ROUND HILL SECURITIES, INC.
CRD#: 35223 / SEC#: , 8-46591
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROUND HILL HOLDINGS, INC. | OWNER | |
| ANTONIADES, ADAM NICHOLAS | PRESIDENT/CEO/DIRECTOR | 2261744 |
| DORN, DIANA GAYLE | SVP, CROP, CHIEF COMPLIANCE OFFICER | 1088981 |
| EMFINGER, TERRY LEWIS | EXECUTIVE VICE PRESIDENT/SECRETARY/TREASURER/DIRECTOR | 2206745 |
| LENHARDT, ARTHUR WILLIAM | SENIOR VICE PRESIDENT, SROP | 306553 |
| SBOTO, THOMAS JOSEPH | EXECUTIVE VICE PRESIDENT | 1497190 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
Red Flags
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