Robert C. Gasser
Professional summary
Robert Christian Gasser was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Robert had worked at 13 firms, which includes BARCLAYS CAPITAL INC., ITG EXECUTION SERVICES INC., POSIT ALERT LLC, MATRIX EXECUTIONS LLC, VIRTU ITG LLC, VIRTU ALTERNET SECURITIES LLC, VELOCITY CLEARING LLC, NYFIX MILLENNIUM L.L.C., NYFIX TRANSACTION SERVICES INC., J.P. MORGAN SECURITIES INC., JPMSI, J.P. MORGAN EQUITIES INC., FIRST MADISON SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2016 - March 1, 2019
BARCLAYS CAPITAL INC.
May 27, 2010 - March 13, 2013
ITG EXECUTION SERVICES, INC.
August 4, 2008 - November 5, 2009
POSIT ALERT LLC
March 27, 2008 - September 1, 2015
MATRIX EXECUTIONS, LLC
October 5, 2006 - September 1, 2015
VIRTU ITG LLC
October 5, 2006 - September 1, 2015
VIRTU ALTERNET SECURITIES LLC
August 15, 2003 - December 15, 2005
VELOCITY CLEARING, LLC
February 4, 2003 - December 15, 2005
NYFIX MILLENNIUM, L.L.C.
February 4, 2003 - October 2, 2006
NYFIX TRANSACTION SERVICES, INC.
December 22, 2000 - May 15, 2001
J.P. MORGAN SECURITIES INC.
November 1, 1988 - May 1, 2001
JPMSI
December 24, 1987 - November 1, 1988
J.P. MORGAN EQUITIES INC.
March 13, 1987 - December 8, 1987
FIRST MADISON SECURITIES, INC.
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
Series 55
Date: 3/13/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 10/12/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BARCLAYS CAPITAL INC.
CRD#: 19714 / SEC#: 801-69700, 8-41342
Contact information
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARCLAYS GROUP US INC. | OWNS BARCLAYS CAPITAL INC. | |
| ABREU, JULIAN JAVIER | ROSFP - PRIME SERVICES | 5160018 |
| JAISING, RAHUL | ROSFP - PRIME SERVICES | 4754959 |
| MATHIS, CAROL PEDERSEN | PRINCIPAL FINANCIAL OFFICER | 4322657 |
| MAYER, ANTHONY EDWARD | CHIEF RISK OFFICER | 8132690 |
| MOGAVERO, ANDREW MICHAEL | CHIEF EXECUTIVE OFFICER | 3247485 |
| O'CONNOR, CLAIRE SCHOLZ | BOARD DIRECTOR | 1907247 |
| ROGOFF, BRADLEY WAYNE | HEAD OF RESEARCH | 4569545 |
| SMITH, JULIETTE SARA | CHIEF LEGAL OFFICER | 5696210 |
| WESTWOOD, JAI | PRINCIPAL OPERATIONS OFFICER | 4611538 |
| ZACHARIA, ZACHARIA | CHIEF COMPLIANCE OFFICER | 2440444 |
Disclosures
| Regulatory Event | 142 |
| Civil Event | 4 |
Red Flags
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