Robert W. Hess
Professional summary
Robert Warren Hess, who also goes by Rob Hess, is a registered financial professional currently at FIRST TRYON SECURITIES, LLC located in Charlotte, North Carolina.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1988. Robert has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Warren Hess's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 10, 2021 - Present
FIRST TRYON SECURITIES, LLC
Office #1: 6101 Carnegie Boulevard Suite 210, Charlotte, NC 28209August 8, 2014 - June 15, 2021
NATHAN HALE CAPITAL, LLC
August 13, 2012 - August 7, 2014
FIRST TRYON SECURITIES, LLC
August 1, 2008 - August 9, 2012
ADVISORS ASSET MANAGEMENT, INC.
September 26, 2007 - April 21, 2008
ABN AMRO INCORPORATED
June 14, 2006 - May 2, 2007
ABN AMRO INCORPORATED
February 3, 2006 - October 1, 2007
LASALLE FINANCIAL SERVICES, INC.
June 9, 2004 - September 9, 2005
ROBERT W. BAIRD & CO. INCORPORATED
September 25, 2003 - September 9, 2005
ROBERT W. BAIRD & CO. INCORPORATED
October 1, 1999 - August 18, 2000
WELLS FARGO CLEARING SERVICES, LLC
August 17, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
October 3, 1994 - August 19, 1999
WELLS FARGO CLEARING SERVICES, LLC
March 22, 1988 - September 2, 1994
MIZUHO SECURITIES USA LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/10/2021)
Exams
FINRA
Current Firm
FIRST TRYON SECURITIES, LLC
CRD#: 7336 / SEC#: , 8-21426
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRUNNEMER & CO. | MEMBER | |
| BRUNNEMER, HUBER KEITH III | MEMBER, CEO, PRESIDENT AND EXECUTIVE REPRESENTATIVE | 2758256 |
| BECK, ERIC JASON | CCO | 4824373 |
| BRUNNEMER, HEBER KEITH JR | MEMBER | 33824 |
| CARPENTER, MARGARET BRUNNEMER MS. | MEMBER, CHIEF FINANCIAL OFFICER, FINOP, | 2042716 |
| HOWELL, ELIZABETH WARREN | MEMBER, SENIOR VICE PRESIDENT | 4791377 |
| JOSEPH, ERIC MICHAEL | MEMBER, SENIOR VICE PRESIDENT | 4001509 |
| WARDLAW, CRAIG M JR. | MEMBER, SENIOR VICE PRESIDENT | 5316503 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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