Robert L. Shohet

RLS FINANCIAL GROUP

NEWTOWN, CT

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CRD#: 1396727

Professional summary

Robert Lloyd Shohet, who also goes by Bob Shohet, Robert L Shohet, is a registered financial advisor currently at RLS FINANCIAL GROUP, INC. located in Newtown, Connecticut.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Robert has worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 4, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bob Shohet | Robert L Shohet

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.

Insurance Agent; Consulting as a sole-proprietor

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Lloyd Shohet's CRS (Customer Relationship Summary).

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

Current

November 2, 1998 - Present

RLS FINANCIAL GROUP, INC.

RIA

CRD#: 125914

NEWTOWN, CT

Past

February 15, 2005 - October 6, 2009

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451

NEWTOWN, CT

Past

February 7, 1995 - February 15, 2005

PMG SECURITIES CORPORATION

CRD#: 27107

ELGIN, IL

Past

September 15, 1993 - February 7, 1995

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

June 7, 1991 - September 15, 1993

PMG SECURITIES CORPORATION

CRD#: 27107

ELGIN, IL

Past

December 18, 1990 - May 14, 1991

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

December 18, 1990 - May 14, 1991

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

August 20, 1985 - December 18, 1990

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(11/2/1998)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/17/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/16/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/17/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 3/22/2005

Registered Options Principal Examination

Principal/Supervisory Exam

Series 27

Date: 2/7/2005

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/31/1998

General Securities Principal Examination

Current Firm

RLS FINANCIAL GROUP, INC.

CRD#: 125914 / SEC#:

Connecticut

Registered Investment Advisory firm - (11/2/1998 Approved)

New York

Registered Investment Advisory firm - (12/31/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Newtown, CT

Mailing Address

Phone number

(203) 270-9180

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	30
AUM (Assets Under Management)	$ 8,084,684

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.

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Advisor Monitoring

Firm Stability Insights

Robert L. Shohet

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Lloyd Shohet's CRS (Customer Relationship Summary).

Certified licenses

Experience

MM ASCEND LIFE INVESTOR SERVICES, LLC

PMG SECURITIES CORPORATION

GUARDIAN INVESTOR SERVICES LLC

PMG SECURITIES CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

NEW ENGLAND SECURITIES

State Registrations and Notice Filings

Exams

Series 65

Date: 10/17/1998

Series 63

Date: 10/16/1985

Series 7

Date: 8/17/1985

Series 4

Date: 3/22/2005

Series 27

Date: 2/7/2005

Series 24

Date: 1/31/1998

Current Firm

RLS FINANCIAL GROUP, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

RLS FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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