RL
Robert F. Limmer
WEDBUSH SECURITIES
Englewood, NJ
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CRD#: 1445011
RL
Professional summary
Robert Frederic Limmer, who also goes by Robert Fredric Limmer, is a registered financial advisor currently at WEDBUSH SECURITIES INC. located in Englewood, New Jersey.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Robert has worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 15, Series 5, Series 3, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert Fredric Limmer
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.
1). BiCoastal Wealth Management; Investment Related; New York, NY; Sole Proprietorship; DBA; Member of the Advisory Board; Start 10/15/2021; Hours devoted per month, 2; Hours devoted during trading, 0 (zero); Duties are to advise on business structure, branding, etc. 2). Onward Advisors; Investment Related; New York, NY; RIA; Subsidiary of WS; Start: 01/2022; Approx: 2 hours a month devoted; Duties: Principal-Chief Growth Officer.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Frederic Limmer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Frederic Limmer'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®
NoneExperience
Current
July 5, 2019 - Present
WEDBUSH SECURITIES INC.
Office #2: 142 West 57th Street 12th Fl, New York, NY 10019RIA
BD
CRD#: 877
Englewood, NJ
Current
June 28, 2019 - Present
WEDBUSH SECURITIES INC.
Office #1: 142 West 57th Street 12th Fl, New York, NY 10019RIA
BD
CRD#: 877
New York, NY
Past
October 29, 2018 - June 27, 2019
GLADSTONE WEALTH PARTNERS
RIA
CRD#: 250787
PARAMUS, NJ
Past
September 10, 2018 - July 10, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
PARAMUS, NJ
Past
April 11, 2008 - December 31, 2017
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
MELVILLE, NY
Past
August 21, 2007 - April 15, 2008
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
NEW YORK, NY
Past
August 21, 2007 - April 15, 2008
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
NEW YORK, NY
Past
June 14, 2006 - August 21, 2007
RYAN BECK & CO.
RIA
CRD#: 3248
NEW YORK, NY
Past
June 12, 2006 - August 21, 2007
RYAN BECK & CO.
BD
CRD#: 3248
NEW YORK, NY
Past
July 1, 2003 - June 9, 2006
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NEW YORK, NY
Past
March 20, 1989 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
May 23, 1986 - April 17, 1989
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
March 25, 1986 - May 1, 1986
DENTON & COMPANY, INCORPORATED
BD
CRD#: 1630
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WEDBUSH SECURITIES INC.
WEDBUSH MORGAN SECURITIES INC. | WEDBUSH, NOBLE, COOKE, INC | WEDBUSH SECURITIES, INC. | WEDBUSH SECURITIES INC. | WEDBUSH PACGROW
CRD#: 877 / SEC#: 801-6358, 8-12987
RIA
Registered Investment Advisory firm - SEC (2/27/1970 Approved)California
Registered Investment Advisory firm - SEC (8/28/2006 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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.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
California(7/1/2019)
RR
New Jersey(6/28/2019)
IAR
New Jersey(7/5/2019)
RR
New York(6/28/2019)
IAR
New York(8/4/2021)
RR
Rhode Island(9/5/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 2/17/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 12/2/1994
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 12/2/1994
Interest Rate Options ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 4/23/1993
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
WEDBUSH SECURITIES INC.
WEDBUSH MORGAN SECURITIES INC. | WEDBUSH, NOBLE, COOKE, INC | WEDBUSH SECURITIES, INC. | WEDBUSH SECURITIES INC. | WEDBUSH PACGROW
CRD#: 877 / SEC#: 801-6358, 8-12987
RIA
Registered Investment Advisory firm - SEC (2/27/1970 Approved)California
Registered Investment Advisory firm - SEC (8/28/2006 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
225 S. Lake Ave Penthouse 225 S. Lake Ave Penthouse, Pasadena, CA 91101
Mailing Address
225 S. Lake Ave Penthouse Attn: Compliance, Pasadena, CA 91101
Phone number
(213) 688-8000
Established
California since 07/08/1966
Firm type
Corporation
Fiscal year end
June
Firm Size
Large
# of Employees
897
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEDBUSH FINANCIAL SERVICES, LLC | OWNER | |
| BILLINGS, DANIEL ERIC | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR | 4568232 |
| BLAND, GEOFFREY CONOR | DIRECTOR | 7358773 |
| DEMPSEY, FRANCIS BURKE | EXECUTIVE VICE PRESIDENT | 2428325 |
| DRUCH, ANDREW WALTER | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR | 1688071 |
| FITZSIMMONS, ROBERT GERARD | EXECUTIVE VICE PRESIDENT | 1878661 |
| FRAUNCES, KIRSTEN CAMPBELL | EXECUTIVE VICE PRESIDENT | 2933930 |
| HULTGREN, DONALD WAYNE | EXECUTIVE CHAIR, DIRECTOR | 1475369 |
| MONE, CHRISTOPHER MICHAEL | EXECUTIVE VICE PRESIDENT | 2401952 |
| PARRODE, RODRIGO NMN | EVP, CHIEF OPERATING OFFICER | 4905345 |
| PASET, ROBERT EDWARD | EXECUTIVE VICE PRESIDENT | 1055902 |
| PRESTON, ERIN KATHLEEN | CHIEF COMPLIANCE OFFICER | 5314250 |
| WEDBUSH, GARY LANCE | PRESIDENT, DIRECTOR | 2234455 |
Regulatory assets under management
| Total Number of Accounts | 10,048 |
| AUM (Assets Under Management) | $ 5,684,848,455 |
Disclosures
| Regulatory Event | 147 |
| Civil Event | 3 |
| Arbitration | 60 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 04/26/2024 | ||
| 12/21/2022 |
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.
