Robert Virgilio
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 Virgilio, who also goes by Robert J VIrgilio, Robert Joseph Virgilio, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1994. Robert had worked at 10 firms and has passed the Series 57TO, SIE, Series 10, Series 14, Series 9, Series 4, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2019 - September 30, 2025
INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC
February 28, 2017 - October 29, 2018
KPMG CORPORATE FINANCE LLC
July 11, 2005 - January 2, 2007
LYNCH, JONES & RYAN LLC
December 13, 2001 - November 15, 2002
WESTMINSTER RESEARCH ASSOCIATES LLC
January 6, 2000 - July 30, 2003
B-TRADE SERVICES LLC
November 22, 1999 - March 12, 2015
COWEN EXECUTION SERVICES LLC
July 1, 1998 - November 29, 1999
COWEN AND COMPANY
March 16, 1998 - July 1, 1998
FINANCIAL SQUARE PARTNERS
October 27, 1997 - January 20, 1998
D. H. BLAIR & CO., INC.
October 3, 1994 - October 20, 1997
FINANCIAL SQUARE PARTNERS
April 5, 1994 - September 13, 1994
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 8
Date: 3/12/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC
CRD#: 131487 / SEC#: , 8-66471
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDUSTRIAL AND COMMERCIAL BANK OF CHINA LIMITED | OWNER | |
| CHEN, MING | DEPUTY CHIEF EXECUTIVE OFFICER, FINANCE | 6612667 |
| GU, JIHONG | MANAGER, BOARD OF MANAGERS | 7246351 |
| LONG, HUA | MANAGER, BOARD OF MANAGERS | 7893463 |
| LYU, YU | EXECUTIVE CHAIRMAN, BOARD OF MANAGERS | 8016015 |
| SCHWARTZ, LANNY ALAN | MANAGER, BOARD OF MANAGERS | 2067101 |
| VIRGILIO, ROBERT | CHIEF COMPLIANCE OFFICER | 1464899 |
| ZHU, YOUXI | MANAGER, BOARD OF MANAGERS | 7354740 |
Disclosures
| Regulatory Event | 6 |
| Criminal | 1 |
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.
