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Robert E. Loftus

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CRD#: 1357423
RL

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 Edward Loftus was a registered financial advisor .

Robert is a previously registered financial advisor and started their career in finance in 1985. Robert had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, Series 52TO, SIE, Series 3, Series 31, Series 7 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

July 29, 2013 - October 27, 2020

ARCADIA SECURITIES, LLC

BD
CRD#: 44656
NEW YORK, NY
Past

April 2, 2009 - July 2, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
NEW YORK, NY
Past

March 30, 2009 - July 2, 2013

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
NEW YORK, NY
Past

August 13, 2003 - April 15, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
NEW YORK, NY
Past

May 23, 2003 - April 15, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

October 1, 1997 - May 28, 2003

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

September 1, 1997 - October 1, 1997

MONTGOMERY SECURITIES

BD
CRD#: 4357
SAN FRANCISCO, CA
Past

June 17, 1993 - August 1, 1997

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

September 25, 1987 - June 28, 1993

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

April 23, 1985 - October 13, 1987

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

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
IAR
Series 65
Date: 10/20/2020
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/3/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/5/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 3/5/2024
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 5/21/2007
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 31
Date: 12/15/2004
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/20/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 3/5/2024
Municipal Securities Principal Examination

Current Firm

AS
ARCADIA SECURITIES, LLC
ARCADIA SECURITIES, LLC | TIBERIUS CAPITAL MARKETS, A DIVISION OF ARCADIA SECURITIES, LLC | BROOKLINE CAPITAL MARKETS, A DIVISION OF ARCADIA SECURITIES,LLC | B. DYSON CAPITAL ADVISORS, A DIVISION OF ARCADIA SECURITIES, LLC

CRD#: 44656 / SEC#: , 8-50764

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1370 Avenue Of The Americas 29th Fl, New York, NY 10019
Mailing Address
1370 Avenue Of The Americas 29th Fl, New York, NY 10019
Phone number
(212) 231-4101
Established
New York since 11/19/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (40 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KIKIS, THOMAS PETERMANAGER, SOLE MEMBER, GSP & PRESIDENT1198536
CHRISTAKOS, BASILCHIEF COMPLIANCE OFFICER2290795
KONTULIS, CHARLES PHEDON IIMANAGING DIRECTOR1327613
KONTULIS, CHARLES PHEDON IIROSFP1327613
SCHILLING, MICHAEL JAMESFINOP, PFO, POO2609624

Disclosures

Regulatory Event1

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.

Company Information

ARCADIA SECURITIES, LLC

CRD#: 44656

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