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RS

Robert H. Stanley

Some features on this profile are disabled
CRD#: 1677165
RS

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 Harold Stanley was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 7 firms and has passed the Series 63, Series 3, Series 55, Series 7, Series 4, Series 30 and Series 24 exams.

top-8-questions

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)

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

February 5, 2010 - May 16, 2012

CAROLINA FINANCIAL SECURITIES, LLC

BD
CRD#: 41970
BREVARD, NC
Past

June 18, 2008 - October 14, 2008

DASH FINANCIAL TECHNOLOGIES LLC

BD
CRD#: 104031
NEW YORK, NY
Past

August 3, 2007 - October 29, 2007

TRADESTATION SECURITIES, INC.

BD
CRD#: 39473
PLANTATION, FL
Past

January 22, 2007 - March 30, 2007

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY
Past

November 8, 1996 - January 23, 2007

B-TRADE SERVICES LLC

BD
CRD#: 41262
NEW YORK, NY
Past

May 12, 1995 - September 10, 1996

INTERCAPITAL SECURITIES LLC

BD
CRD#: 20004
JERSEY CITY, NJ
Past

July 25, 1987 - September 9, 1996

ICAP SECURITIES USA LLC

BD
CRD#: 19739
NEW YORK, NY

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
RR
Series 63
Date: 9/30/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 8/14/2007
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 9/23/1998
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/17/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/21/2007
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 30
Date: 8/31/2007
NFA Branch Manager Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/4/1996
General Securities Principal Examination

Current Firm

CF
CAROLINA FINANCIAL SECURITIES, LLC
CAROLINA FINANCIAL SECURITIES, LLC

CRD#: 41970 / SEC#: , 8-49653

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

Main Address
100 Elks Club Rd., Brevard, NC 28712
Mailing Address
Po Box 1076, Brevard, NC 28712
Phone number
(828) 393-0088
Established
North Carolina since 08/09/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (20 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#
CAROLINA FINANCIAL GROUP, LLCOWNER
MILHAUPT, PETER STUARTOWNER728310
BROYHILL INVESTMENTS, INC.OWNER
LYNCH, WILLIAM ALVINOWNER5853429
GILMORE, NICHOLAS CRAIGCOO-CFO AND FINOP5181593
ROBERTS, BRUCE VICTORPRESIDENT, CEO, CHIEF COMPLIANCE OFFICER1489110

Disclosures

Regulatory Event5

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

CAROLINA FINANCIAL SECURITIES, LLC

CRD#: 41970

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