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RS

Robert S. Spiegel

CEROS FINANCIAL SERVICES
New York, NY 10017
Some features on this profile are disabled
CRD#: 1671044
RS

Professional summary

Robert Stewart Spiegel, who also goes by Robert S Spiegel, is a registered financial professional currently at CEROS FINANCIAL SERVICES, INC. located in New York, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1989. Robert has worked at 12 firms and has passed the Series 63, Series 82TO, SIE, Series 7 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert S Spiegel

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 Stewart Spiegel'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 25, 2025 - Present

CEROS FINANCIAL SERVICES, INC.

Office #1: 295 Madison Ave. Suite 1102, New York, NY 10017
BD
CRD#: 37869
New York, NY
Past

September 19, 2017 - October 31, 2018

SPENCER CLARKE LLC

BD
CRD#: 41316
NORTH MIAMI, FL
Past

August 11, 2016 - June 28, 2017

OSPREY PARTNERS LLC

BD
CRD#: 38122
WESTPORT, CT
Past

December 4, 2013 - September 2, 2016

DINOSAUR FINANCIAL GROUP, L.L.C

BD
CRD#: 104446
new york, NY
Past

September 15, 2011 - July 8, 2013

PORTFOLIO ADVISORS ALLIANCE, LLC

BD
CRD#: 101680
NEW YORK, NY
Past

May 25, 2011 - September 15, 2011

LAMPERT CAPITAL MARKETS INC.

BD
CRD#: 103725
NY, NY
Past

March 18, 2010 - May 26, 2011

EMERSON EQUITY LLC

BD
CRD#: 130032
TARRYTOWN, NY
Past

March 7, 2007 - May 15, 2009

ADVANCED EQUITIES, INC.

BD
CRD#: 35545
NEW YORK, NY
Past

February 2, 2006 - April 5, 2007

CAPITAL GROWTH FINANCIAL, LLC

BD
CRD#: 41040
NEW YORK, NY
Past

March 16, 2001 - February 2, 2006

TRAUTMAN WASSERMAN & COMPANY, INC.

BD
CRD#: 33007
NEW YORK, NY
Past

July 8, 1991 - April 5, 2001

SANDS BROTHERS & CO., LTD.

BD
CRD#: 26816
NEW YORK, NY
Past

January 24, 1989 - December 24, 1990

RODMAN & RENSHAW INC.

BD
CRD#: 724
CHICAGO, IL

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
Arizona
(10/3/2025)
RR
California
(10/7/2025)
RR
Connecticut
(10/1/2025)
RR
District of Columbia
(10/3/2025)
RR
Nevada
(10/3/2025)
RR
New Jersey
(10/23/2025)
RR
New York
(10/2/2025)
RR
Pennsylvania
(10/3/2025)
RR
South Carolina
(10/6/2025)
RR
Texas
(10/1/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 9/2/2025
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 9/24/2025
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 8/21/2025
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 3/1/1994
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

CF
CEROS FINANCIAL SERVICES, INC.
ASSET MANAGEMENT SERVICES | FORTE CAPITAL GROUP | CEROS FINANCIAL SERVICES, INC. | CEROS FINANCIAL ADVISORS | CEROS CAPITAL MARKETS | CEROS BROKER SERVICE, INC. | ATLANTIC PARTNERS

CRD#: 37869 / SEC#: , 8-47955

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Mailing Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Phone number
(866) 842-3356
Established
Massachusetts since 09/30/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DGB HOLDINGS, LLCOWNER
AYERS-RIGSBY, MARY CATHERINEPRESIDENT830349
GOLDWASSER, MARK HARRYCEO1334008
GREENE, JON CHRISTOPHERROSFP3202524
HOLLAND, ANGELA LYNNETTECHIEF COMPLIANCE OFFICER3166586
POWELL, KIM ULMANCHIEF FINANCIAL OFFICER6244231
WILSON, DANIELAMLCO6763074

Disclosures

Regulatory Event4

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

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869New York, NY 10017

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