Richard W. Robb
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.
Richard William Robb, who also goes by Rick Robb, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 10 firms and has passed the SIE, Series 7 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
January 7, 2015 - September 9, 2015
NEXT FINANCIAL GROUP, INC.
May 4, 2012 - December 31, 2013
HIGH STREET SECURITIES, INC.
January 2, 2008 - August 12, 2010
GWN SECURITIES INC.
July 18, 2007 - December 31, 2007
CETERA ADVISORS LLC
April 30, 1999 - July 18, 2007
LEGACY FINANCIAL SERVICES, INC.
October 29, 1998 - April 7, 1999
ALLSTATE FINANCIAL SERVICES, LLC
February 23, 1994 - October 29, 1998
AFD, INC.
May 19, 1992 - June 17, 1993
SUNAMERICA SECURITIES, INC.
November 8, 1988 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
May 23, 1986 - June 1, 1988
KENNEDY, CABOT & CO.
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
Current Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
