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RS

Robert M. Santry

Some features on this profile are disabled
CRD#: 1453235
RS

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 Michael Santry was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1994. Robert had worked at 4 firms and has passed the Series 63, Series 55, Series 7, Series 24, Series 14 and Series 8 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)

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

February 19, 2008 - June 25, 2012

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY
Past

October 6, 2004 - April 21, 2008

B-TRADE SERVICES LLC

BD
CRD#: 41262
NEW YORK, NY
Past

June 9, 1998 - October 7, 2004

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY
Past

November 2, 1994 - May 28, 1998

JPMSI

BD
CRD#: 15733
NEW YORK, NY

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
RR
Series 63
Date: 11/9/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 6/8/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/1/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/2/2004
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/25/1999
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 8
Date: 5/26/1995
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

CE
COWEN EXECUTION SERVICES LLC
BNY BROKERAGE INC. | ESI SECURITIES COMPANY | COWEN EXECUTION SERVICES LLC | CONVERGEX EXECUTION SOLUTIONS LLC | BNY ESI & CO., INC. | BNY CONVERGEX EXECUTION SOLUTIONS LLC | BNY BROKERAGE LLC

CRD#: 35693 / SEC#: 801-67167, 8-46838

BD
Terminated by SEC on 07/03/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 09/27/2006
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

CONVERGEX EXECUTION SOLUTIONS LLC (4/1/2013)

Direct owners and executive officers

NamePositionCRD#
COWEN EXECUTION HOLDCOMEMBER
CHARNEY, DANIEL S.CHIEF EXECUTIVE OFFICER2158255
EADS, MARK BREGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL - ROSFP2942874
HOLMES, JOHNPRINCIPAL OPERATIONS OFFICER1281617
KAPLAN, GARY MITCHELLMUNICIPAL PRINCIPAL
LUPKIN, IRA ADAMPRINCIPAL FINANCIAL OFFICER4463446
MESSINGER, LINDA LOUISECHIEF COMPLIANCE OFFICER2561401

Disclosures

Regulatory Event29

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

COWEN EXECUTION SERVICES LLC

CRD#: 35693

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