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RD

Robert F. Depiro

Some features on this profile are disabled
CRD#: 1724705
RD

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 Frederick Depiro was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 8 firms and has passed the Series 63, Series 72, SIE and Series 7 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

July 22, 2020 - June 29, 2023

WHITAKER SECURITIES LLC

BD
CRD#: 121465
NEW YORK, NY
Past

June 11, 2013 - July 20, 2020

LPS CAPITAL LLC

BD
CRD#: 155246
NEW YORK, NY
Past

October 19, 2004 - May 31, 2013

WHITAKER SECURITIES LLC

BD
CRD#: 121465
NEW YORK, NY
Past

June 10, 2002 - October 12, 2004

PECONIC SECURITIES LLC

BD
CRD#: 46781
NEW YORK, NY
Past

June 12, 2000 - April 26, 2002

MCFADDEN, FARRELL & SMITH, L.P.

BD
CRD#: 26245
NEW YORK, NY
Past

July 15, 1998 - June 8, 2000

CHAPDELAINE CORPORATE SECURITIES & CO

BD
CRD#: 23741
NEW YORK, NY
Past

May 24, 1995 - June 5, 1998

FIRST BROKERS SECURITIES LLC

BD
CRD#: 27369
JERSEY CITY, NJ
Past

November 19, 1990 - April 26, 1995

CHAPDELAINE CORPORATE SECURITIES & CO

BD
CRD#: 23741
NEW YORK, NY
Past

November 29, 1988 - November 4, 1989

ICAP SECURITIES USA LLC

BD
CRD#: 19739
NEW YORK, NY
Past

September 2, 1987 - April 28, 1988

FUNDAMENTAL BROKERS

BD
CRD#: 19837

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: 7/24/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/9/1998
General Securities Representative Examination

Current Firm

WS
WHITAKER SECURITIES LLC
QUEST BROKERS | WHITAKER SECURITIES LLC

CRD#: 121465 / SEC#: , 8-65419

BD
Terminated by SEC on 09/16/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 05/13/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
NICOSIA, ROSALIE MARGARETCHIEF COMPLIANCE OFFICER, CRCP4239124

Disclosures

Regulatory Event6

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

WHITAKER SECURITIES LLC

CRD#: 121465

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