Robin R. Smith
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.
Robin Rogers Smith, who also goes by Robin Clark, Robin Clarke, Robin Rogers, Robin R Scaringella, Robin Rogers Scaringella, was a registered financial professional .
Robin is a previously registered financial professional and started their career in finance in 1987. Robin had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2017 - October 16, 2017
MONECO ADVISORS
January 6, 2017 - October 23, 2017
LPL FINANCIAL LLC
October 1, 2010 - January 9, 2017
NATIONAL PLANNING CORPORATION
October 1, 2010 - January 9, 2017
NATIONAL PLANNING CORPORATION
October 20, 2000 - October 1, 2010
COMMONWEALTH FINANCIAL NETWORK
October 2, 2000 - October 1, 2010
COMMONWEALTH FINANCIAL NETWORK
May 20, 1999 - October 3, 2000
WESTPORT CAPITAL MARKETS, LLC
May 4, 1998 - May 3, 1999
ESSEX NATIONAL SECURITIES, LLC
November 28, 1997 - April 29, 1998
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 6, 1997 - December 4, 1997
OSAIC WEALTH, INC.
September 27, 1996 - April 3, 1997
FIRST UNION BROKERAGE SERVICES, INC.
March 17, 1995 - September 18, 1996
CONSECO SECURITIES, INC.
January 11, 1989 - March 9, 1995
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 22, 1987 - November 8, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
MONECO ADVISORS
CRD#: 171922 / SEC#: 801-80027
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
Current Firm
MONECO ADVISORS
CRD#: 171922 / SEC#: 801-80027
Contact information
SEC notice filing (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,130 |
| AUM (Assets Under Management) | $ 1,915,081,746 |
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.
