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Robert A. Willis

BROAD STREET CAPITAL MARKETS
HOLMDEL, NJ 07733
CRD#: 1426609
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RW
Robert Andrew WillisBROAD STREET CAPITAL MARKETS

Professional summary

Robert Andrew Willis is a registered financial professional currently at BROAD STREET CAPITAL MARKETS, LLC located in Holmdel, New Jersey.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1985. Robert has worked at 19 firms and has passed the Series 63, Series 72, SIE and Series 7 exams.

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) - BD

Click below to view Robert Andrew Willis's CRS (Customer Relationship Summary).
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

March 3, 2017 - Present

BROAD STREET CAPITAL MARKETS, LLC

Office #1: 101 Crawfords Corner Rd Suite 4116, Holmdel, NJ 07733
BD
CRD#: 104026
HOLMDEL, NJ
Past

July 7, 2016 - March 1, 2017

CG CAPITAL MARKETS, LLC

BD
CRD#: 35513
Red Bank, NJ
Past

December 10, 2012 - June 27, 2016

SECUREVEST FINANCIAL GROUP

BD
CRD#: 10100
MORRISTOWN, NJ
Past

September 12, 2011 - November 19, 2012

GRACE FINANCIAL GROUP LLC

BD
CRD#: 104133
NEW YORK, NY
Past

January 5, 2006 - August 2, 2011

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
NEW YORK, NY
Past

January 12, 2005 - August 4, 2005

BNY CAPITAL MARKETS INC.

BD
CRD#: 18303
NEW YORK, NY
Past

July 9, 2001 - January 5, 2005

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

July 20, 1999 - July 3, 2001

PREBON FINANCIAL PRODUCTS INC.

BD
CRD#: 29551
JERSEY CITY, NJ
Past

July 7, 1999 - July 3, 2001

PREBON SECURITIES (USA) INC.

BD
CRD#: 20431
JERSEY CITY, NJ
Past

May 22, 1996 - June 28, 1999

INTERCAPITAL SECURITIES LLC

BD
CRD#: 20004
JERSEY CITY, NJ
Past

May 22, 1996 - June 28, 1999

ICAP SECURITIES USA LLC

BD
CRD#: 19739
NEW YORK, NY
Past

January 21, 1992 - October 18, 1995

JPMSI

BD
CRD#: 15733
NEW YORK, NY
Past

April 30, 1991 - March 19, 1992

INTESA SANPAOLO IMI SECURITIES CORP.

BD
CRD#: 19418
NEW YORK, NY
Past

November 1, 1990 - April 30, 1991

MABON, NUGENT & CO.

BD
CRD#: 2617
Past

August 28, 1990 - November 6, 1990

FINANCIAL SQUARE PARTNERS

BD
CRD#: 1541
NEW YORK, NY
Past

May 17, 1989 - November 11, 1989

WESTPAC POLLOCK GOVERNMENT SECURITIES INC.

BD
CRD#: 19792
Past

January 24, 1989 - June 5, 1989

L. F. ROTHSCHILD & CO. INCORPORATED

BD
CRD#: 501
Past

July 25, 1987 - March 12, 1991

MERRILL LYNCH GOVERNMENT SECURITIES INC.

BD
CRD#: 19693
Past

November 19, 1985 - February 1, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New Jersey
(3/3/2017)
RR
New York
(3/3/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 2/1/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/16/1985
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BROAD STREET CAPITAL MARKETS, LLC
AMERICAN DIVERSIFIED FINANCIAL GROUP LLC | BROAD STREET CAPITAL MARKETS, LLC

CRD#: 104026 / SEC#: , 8-52487

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

Main Address
101 Crawfords Corner Rd Suite 4116, Holmdel, NJ 07733
Mailing Address
101 Crawfords Corner Rd Suite 4116, Holmdel, NJ 07733
Phone number
(862) 367-9930
Established
Indiana since 02/03/2000
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BERGEN CAPITAL ADVISORS, LLCOWNER
ADDERLY, ANDREW GENECEO/CHIEF COMPLIANCE OFFICER4388648
RANKEL, WILLIAM EDWINFINOP/CFO2074785

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

BROAD STREET CAPITAL MARKETS, LLC

CRD#: 104026Holmdel, NJ 07733

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