Robert Warren Hess
Professional Summary
Robert Warren Hess, who also goes by Rob Hess, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Rob Hess
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
35 years in the financial services industry
Current & Past Employments
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Current Firm
BRUNNEMER & CO. | FIRST TRYON SECURITIES, LLC | FIRST CHARLOTTE CORPORATION
Contact Information
Main Address
6101 Carnegie Blvd #210, Charlotte, NC 28209Mailing Address
6101 Carnegie Blvd #210, Charlotte, NC 28209Phone Number
(704) 372-6118Established
North Carolina since 07/25/1996Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (3 States and Territories)
Registered to provide investment advisory services in 0 US 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 |
| WARDLAW, CRAIG M JR. | MEMBER, SENIOR VICE PRESIDENT | 5316503 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(5/10/2021)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Robert Warren Hess's CRS (Customer Relationship Summary).
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