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Robert T. Littell

Some features on this profile are disabled
CRD#: 1364273
RL

Professional summary

Robert Tatham Littell JR was barred by the SEC 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 8 firms, which includes STIRES & CO. INC., GRAYSON FINANCIAL LLC, MERCER SECURITIES LTD., EDWARD C. RORER & CO. INC., THE PENNSYLVANIA GROUP INCORPORATED, DWE CAPITAL MARKETS INC., EVANS & CO. INC., EQUITIES INTERNATIONAL SECURITIES INC..

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

November 16, 1994 - September 19, 1997

STIRES & CO., INC.

BD
CRD#: 6813
NEW YORK, NY
Past

December 6, 1993 - August 31, 1994

GRAYSON FINANCIAL LLC

BD
CRD#: 11764
RED BANK, NJ
Past

January 5, 1993 - December 7, 1993

MERCER SECURITIES, LTD.

BD
CRD#: 30903
Past

March 17, 1992 - December 31, 1992

EDWARD C. RORER & CO., INC.

BD
CRD#: 7701
PHILADELPHIA, PA
Past

July 23, 1990 - December 17, 1991

THE PENNSYLVANIA GROUP, INCORPORATED

BD
CRD#: 5402
VERO BEACH, FL
Past

September 4, 1987 - July 11, 1990

DWE CAPITAL MARKETS, INC.

BD
CRD#: 17428
Past

November 12, 1985 - September 3, 1987

EVANS & CO., INC.

BD
CRD#: 268
Past

April 24, 1985 - November 1, 1985

EQUITIES INTERNATIONAL SECURITIES, INC.

BD
CRD#: 8663

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: 6/9/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/24/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/20/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 10/7/1987
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/5/1987
General Securities Principal Examination

Current Firm

S&
STIRES & CO., INC.
STIRES & CO., INC. | STIRES, O'DONNELL AND CO., INC. | STIRES AND COMPANY, INC.

CRD#: 6813 / SEC#: , 8-18268

BD
Terminated by SEC on 11/24/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 01/15/1975
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ODONNELL, ROBERT JOHNSHAREHOLDER1558093
STIRES, SIDNEY HOMERPRESIDENT436775
STIRES, ANNE CARROLLSHAREHOLDER
STIRES, PHILIPSHAREHOLDER
STIRES, THOMASSHAREHOLDER
WRIGHT, MARTHASHAREHOLDER
ESTATE OF PAT SHEERINSHAREHOLDER
FERRARO, PATRICIA MARIEFINANCIAL AND OPERATIONS PRINCIPAL4263513
GODSHELL, R. ELLISSHAREHOLDER
RUFFIN, PETERSHAREHOLDER

Disclosures

Regulatory Event7

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

STIRES & CO., INC.

CRD#: 6813

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