Robert L. Desmond
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 L Desmond JR, who also goes by Robert L Desmond, Robert Louis Desmond Jr, Robert Desmond, Robert Louis Desmond, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2024 - July 7, 2025
ACADEMY SECURITIES, INC.
June 13, 2022 - May 24, 2024
HILLTOP SECURITIES INC.
August 20, 2018 - March 9, 2021
OPPENHEIMER & CO. INC.
July 7, 2011 - July 31, 2018
SUSQUEHANNA FINANCIAL GROUP, LLLP
December 8, 2008 - June 23, 2011
STONE & YOUNGBERG LLC
July 17, 2006 - January 2, 2009
BARCLAYS CAPITAL INC.
February 1, 2000 - July 5, 2006
DEUTSCHE BANK SECURITIES INC.
April 18, 1989 - January 28, 2000
GOLDMAN SACHS & CO. LLC
November 21, 1986 - November 10, 1988
J.P. MORGAN SECURITIES LLC
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
ACADEMY SECURITIES, INC.
CRD#: 17433 / SEC#: , 8-35173
Contact information
FINRA licenses (38 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MIMS, RONALD CHANCE | CHAIRMAN, CEO | 5637540 |
| GRAHAM, ANTHONY R | FINOP | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL OPERATIONS OFFICER | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL FINANCIAL OFFICER | 4959159 |
| GRAHAM, ANTHONY R | COO | 4959159 |
| MCCONKEY, PHILIP JOSEPH | VICE CHAIRMAN | 3253139 |
| WILCOX, SPENCER HAMILTON | PRESIDENT | 5802885 |
| BOYD, MICHAEL BARTOW | CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL,REGISTERED OPTIONS PRINCIPAL, AML OFFICER | 2557814 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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