Robert L. Abbott

SOUTH ATLANTIC ENTERPRISES

Raleigh, NC 27609

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CRD#: 1491973

Professional summary

Robert Lee Abbott JR, who also goes by Sandy Abbott Jr, is a registered financial professional currently at SOUTH ATLANTIC ENTERPRISES, INC. located in Raleigh, North Carolina.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1986. Robert has worked at 4 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 14, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sandy Abbott Jr

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 Lee Abbott JR'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®

None

Experience

Current

February 4, 1998 - Present

SOUTH ATLANTIC ENTERPRISES, INC.

Office #1: 4030 Wake Forest Road Suite 300, Raleigh, NC 27609

CRD#: 42790

Raleigh, NC

Past

August 17, 1995 - May 2, 1997

MID-ATLANTIC SECURITIES, INC.

CRD#: 18836

RALEIGH, NC

Past

December 17, 1986 - August 23, 1993

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

May 27, 1986 - October 2, 1986

MORGAN STANLEY DW INC.

CRD#: 7556

State Registrations and Notice Filings

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

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

Georgia
(1/15/2013)

North Carolina
(12/18/2001)

Exams

State Security Law Exam

Series 63

Date: 6/13/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/24/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 27

Date: 10/7/1997

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/18/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SOUTH ATLANTIC ENTERPRISES, INC.

CRD#: 42790 / SEC#: , 8-50006

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

4030 Wake Forest Road Suite 300, Raleigh, NC 27609

Mailing Address

4030 Wake Forest Road Suite 300, Raleigh, NC 27609

Phone number

(919) 637-0073

Established

North Carolina since 09/27/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ABBOTT, ROBERT LEE JR	PRESIDENT & CHIEF COMPLIANCE OFFICER, INVESTMENT BANKING PRINCIPAL, FINOP, CHIEF OPERATIONS OFFICER	1491973

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Robert L. Abbott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Lee Abbott JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

MID-ATLANTIC SECURITIES, INC.

J.P. MORGAN SECURITIES LLC

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/13/1986

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/24/1986

Series 14

Date: 1/2/2023

Series 27

Date: 10/7/1997

Series 24

Date: 3/18/1997

FINRA

Current Firm

SOUTH ATLANTIC ENTERPRISES, INC.

Contact information

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

SOUTH ATLANTIC ENTERPRISES, INC.

TRUST BUT VERIFY

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