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RM

Robert M. Maclaverty

Some features on this profile are disabled
CRD#: 1647289
RM

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 Michael Maclaverty, who also goes by Bob Maclaverty, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bob Maclaverty

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 24, 2016 - July 21, 2017

BRG CAPSTONE CAPITAL ADVISORS

BD
CRD#: 282519
Chicago, IL
Past

July 1, 2011 - December 31, 2014

VSR FINANCIAL SERVICES, INC.

BD
CRD#: 14503
MINNEAPOLIS, MN
Past

June 23, 2011 - December 31, 2014

VSR FINANCIAL SERVICES, INC.

RIA
CRD#: 14503
MINNEAPOLIS, MN
Past

March 20, 2008 - July 29, 2009

CREDIT SUISSE SECURITIES (USA) LLC

RIA
CRD#: 816
CHICAGO, IL
Past

March 20, 2008 - July 29, 2009

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
CHICAGO, IL
Past

January 5, 2006 - March 11, 2008

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
CHICAGO, IL
Past

March 18, 2005 - March 11, 2008

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
CHICAGO, IL
Past

December 24, 1996 - December 19, 2000

MCDONNELL, INC.

BD
CRD#: 30080
KENILWORTH, IL
Past

June 6, 1994 - April 25, 1995

JPMSI

BD
CRD#: 15733
NEW YORK, NY
Past

March 30, 1992 - September 2, 1993

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

May 28, 1991 - November 18, 1991

CONTINENTAL GLOBAL FINANCIAL CORPORATION

BD
CRD#: 23959
Past

April 29, 1987 - May 6, 1989

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/3/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/17/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/21/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/17/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 5/8/1987
National Commodity Futures Examination

Current Firm

BC
BRG CAPSTONE CAPITAL ADVISORS
BRG CAPITAL ADVISORS, LLC | BRG CAPSTONE CAPITAL ADVISORS

CRD#: 282519 / SEC#: , 8-69719

BD
Terminated by SEC on 08/08/2021
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/02/2015
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BRG (CAPITAL MARKETS) HOLDINGS, LLCMEMBER
SADZEWICZ, GERY JOSEPHCCO1090963
SHEA, THOMAS EDWARDCFO2299633

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

BRG CAPSTONE CAPITAL ADVISORS

CRD#: 282519

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