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RL

Robert J. Larkins

LOOP CAPITAL MARKETS LLC
San Francisco, CA 94104
Some features on this profile are disabled
CRD#: 1626628
RL

Professional summary

Robert John Larkins is a registered financial professional currently at LOOP CAPITAL MARKETS LLC located in San Francisco, California.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1988. Robert has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 52 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 John Larkins's CRS (Customer Relationship Summary).
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

September 14, 2020 - Present

LOOP CAPITAL MARKETS LLC

Office #1: 580 California Street 16th Floor, San Francisco, CA 94104
RIA
BD
CRD#: 43098
San Francisco, CA
Past

April 2, 2012 - July 14, 2020

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
SAN FRANCISCO, CA
Past

November 2, 2011 - March 14, 2013

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
SAN FRANCISCO, CA
Past

May 13, 2008 - November 1, 2011

WEDBUSH SECURITIES INC.

BD
CRD#: 877
SAN FRANCISCO, CA
Past

March 21, 2003 - January 18, 2008

LEHMAN BROTHERS INC.

BD
CRD#: 7506
SAN FRANCISCO, CA
Past

April 12, 1991 - February 24, 2003

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

January 22, 1988 - March 5, 1988

CITICORP SECURITIES, INC.

BD
CRD#: 7474

State Registrations and Notice Filings

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

RR
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

RR
California
(9/14/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 11/24/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/5/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 12/19/1985
Municipal Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/5/2012
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LC
LOOP CAPITAL MARKETS LLC
LOOP CAPITAL MARKETS L.L.C. | LOOP CAPITAL MARKETS LLC

CRD#: 43098 / SEC#: , 8-50140

Illinois
Registered Investment Advisory firm - SEC (4/4/2012 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
425 S. Financial Place Ste 2700, Chicago, IL 60605
Mailing Address
425 S. Financial Place Ste 2700, Chicago, IL 60605
Phone number
(312) 913-4900
Established
Delaware since 06/01/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
250

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
LOOP CAPITAL, LLCOWNER
BERKELEY, STEPHEN SIDNEYREGULATORY COUNSEL AND CCO5616433
LUPKIN, IRA ADAMCHIEF FINANCIAL OFFICER4463446
REYNOLDS, JAMES JR.CHIEF EXECUTIVE OFFICER1162337
SULLIVAN, ANTHONYCHIEF OPERATING OFFICER5995264

Disclosures

Regulatory Event8

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.

Company Information

LOOP CAPITAL MARKETS LLC

CRD#: 43098San Francisco, CA 94104

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