Robert S. Palmeri
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 Stephen Palmeri, who also goes by Robert S Palmeri, Robert Palmeri, 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 66, Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2019 - June 2, 2022
UBS FUND SERVICES (USA) LLC
November 3, 2004 - November 15, 2005
KPMG INVESTMENT ADVISORS
June 27, 1994 - September 11, 2000
CBIS FINANCIAL SERVICES, INC.
May 5, 1993 - June 14, 1994
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
May 30, 1991 - April 13, 1993
BNY MELLON SECURITIES CORPORATION
June 2, 1989 - March 14, 1991
ALLIANCEBERNSTEIN INVESTMENTS, INC.
March 3, 1988 - December 12, 1988
LEGEND CAPITAL CORPORATION
August 17, 1987 - March 24, 1988
BNY MELLON SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 6/4/2019
General Securities Representative ExaminationCurrent Firm
UBS FUND SERVICES (USA) LLC
CRD#: 41848 / SEC#: , 8-49596
Contact information
FINRA licenses (52 States and Territories)
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.
