Robert J. Arrix
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 J Arrix, who also goes by Robert Joseph Arrix Jr, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 11 firms and has passed the Series 63, Series 3, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2025 - December 5, 2025
STATE STREET GLOBAL MARKETS, LLC
November 16, 2010 - December 6, 2023
BARCLAYS CAPITAL INC.
July 18, 2008 - August 13, 2010
RBC CAPITAL MARKETS, LLC
March 30, 2006 - June 9, 2008
J.P. MORGAN SECURITIES LLC
May 22, 2002 - April 4, 2006
INSTITUTIONAL DIRECT INC.
April 1, 2002 - May 1, 2002
COWEN EXECUTION SERVICES LLC
December 8, 1997 - April 1, 2002
AUTRANET, LLC
March 22, 1996 - November 25, 1997
CAPIS
February 16, 1994 - May 8, 1995
CHASE SECURITIES, INC.
August 28, 1991 - November 30, 1993
UBS SECURITIES LLC
April 10, 1987 - July 31, 1991
MANUFACTURERS HANOVER SECURITIES CORPORATION
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
STATE STREET GLOBAL MARKETS, LLC
CRD#: 285852 / SEC#: , 8-69862
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE STREET CORPORATION | PARENT COMPANY | |
| BAMBINO, JOHN JOSEPH | CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER | 4237874 |
| CHARLAND, JOSEPH LEONARD | DIRECTOR | 5183891 |
| FORTUNA, GREGORY PAUL | DIRECTOR | 3168105 |
| MARZILIANO, MICHAEL | PRINCIPAL OPERATIONS OFFICER | 1527133 |
| MAXHAM, DAVID GOULD | DIRECTOR | 6372664 |
| MCKEON, ROBERT A | DIRECTOR | 7638847 |
| MORGAN, DANIEL ROBERT | CHIEF EXECUTIVE OFFICER | 2743457 |
| SIGLAIN, TARYN ANN | DIRECTOR | 5163466 |
| SOR, LY | DIRECTOR | 7996223 |
| TRABUCCO, MARK RUSSELL | CHIEF COMPLIANCE OFFICER | 4856280 |
Disclosures
| Regulatory Event | 4 |
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.
