Robert S. Leben
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 Stuart Leben was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 11 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 1992 - September 11, 1992
LEHMAN BROTHERS INC.
January 3, 1991 - January 27, 1992
KIDDER, PEABODY & CO. INCORPORATED
February 28, 1990 - December 31, 1990
JJC SECURITIES CO., INC.
January 2, 1990 - January 27, 1990
HANIFEN, IMHOFF SECURITIES CORP.
August 25, 1989 - January 2, 1990
MOORE & SCHLEY, CAMERON & CO.
February 21, 1989 - September 19, 1989
GLEACHER & COMPANY SECURITIES, INC.
September 8, 1987 - February 1, 1989
CIBC WORLD MARKETS CORP.
July 22, 1987 - September 11, 1987
PHILIPS, APPEL & WALDEN, INC.
October 22, 1986 - July 9, 1987
GLICKENHAUS & CO. - NEW JERSEY
July 16, 1986 - July 2, 1987
GLOBAL CAPITAL SECURITIES, INC.
October 14, 1985 - February 19, 1986
PRUCO SECURITIES, LLC.
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
Current Firm
LEHMAN BROTHERS INC.
CRD#: 7506 / SEC#: , 8-12324
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEHMAN BROTHERS HOLDINGS INC. | SOLE SHAREHOLDER | |
| CLARK, HOWARD LONGSTRETH JR | DIRECTOR | 47587 |
| CRUIKSHANK, THOMAS HENRY | DIRECTOR | 4708135 |
| FREIDHEIM, SCOTT JON | CO-CHIEF ADMINISTRATIVE OFFICER | 1766230 |
| FULD, RICHARD SEVERIN JR | DIRECTOR/CHAIRMAN AND CEO | 215527 |
| LOWITT, IAN THEO | CO-CHIEF ADMINISTRATIVE OFFICER | 4210205 |
| MCDADE III, HERBERT H. | PRESIDENT AND CHIEF OPERATING OFFICER | 1185218 |
| RUSSO, THOMAS ANTHONY | CHIEF LEGAL OFFICER | 3188169 |
Disclosures
| Regulatory Event | 359 |
| Civil Event | 1 |
| Arbitration | 527 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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