Robert J. Taraska
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 J Taraska, who also goes by Robert Taraska Jr, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2018 - December 31, 2018
WEALTH MANAGEMENT ASSOCIATES, INC.
January 17, 2018 - December 31, 2018
SECURITIES AMERICA, INC.
September 23, 2011 - January 25, 2018
LPL FINANCIAL LLC
September 23, 2011 - January 25, 2018
LPL FINANCIAL LLC
July 28, 2006 - September 27, 2011
WELLS FARGO CLEARING SERVICES, LLC
July 27, 2006 - September 27, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2004 - July 12, 2006
PNC WEALTH MANAGEMENT LLC
January 1, 2004 - July 12, 2006
PNC WEALTH MANAGEMENT LLC
November 1, 2002 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
November 1, 2002 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
June 20, 2002 - November 4, 2002
MORGAN STANLEY DW INC.
July 26, 2001 - November 4, 2002
MORGAN STANLEY DW INC.
November 3, 1993 - June 27, 2001
UBS FINANCIAL SERVICES INC.
April 5, 1989 - April 27, 1989
MLB INVESTMENTS, LTD.
January 5, 1989 - April 11, 1989
MONMOUTH INVESTMENTS, INC.
June 15, 1988 - January 9, 1989
A. G. EDWARDS & SONS, INC.
May 24, 1988 - June 22, 1988
HIBBARD BROWN & CO., INC.
February 2, 1987 - June 1, 1988
SHERWOOD CAPITAL, INC.
April 26, 1985 - January 31, 1987
FIRST JERSEY SECURITIES, INC.
Primary Firm SEC Registration
WEALTH MANAGEMENT ASSOCIATES, INC.
CRD#: 117606 / SEC#: 801-79993
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 8
Date: 10/4/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WEALTH MANAGEMENT ASSOCIATES, INC.
CRD#: 117606 / SEC#: 801-79993
Contact information
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,972 |
| AUM (Assets Under Management) | $ 646,804,888 |
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.
