Robert B. Meadows

Some features on this profile are disabled

CRD#: 1780941

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 Brian Meadows was a registered financial advisor .

Robert is a previously registered financial advisor and started their career in finance in 1988. Robert had worked at 9 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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

February 23, 2005 - May 1, 2008

M.L. STERN & CO., LLC.

RIA

CRD#: 8327

BEVERLY HILLS, CA

Past

February 23, 2005 - May 1, 2008

M.L. STERN & CO., LLC.

CRD#: 8327

BEVERLY HILLS, CA

Past

April 2, 2004 - February 23, 2005

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

February 20, 2004 - February 23, 2005

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

TORRANCE, CA

Past

September 5, 2002 - February 17, 2004

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

SHERMAN OAKS, CA

Past

September 5, 2002 - February 17, 2004

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

May 31, 2000 - September 11, 2002

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

LOS ANGELES, CA

Past

February 1, 1999 - September 11, 2002

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

October 27, 1993 - January 26, 1999

M.L. STERN & CO., LLC.

CRD#: 8327

BEVERLY HILLS, CA

Past

June 2, 1993 - November 4, 1993

ANNANDALE SECURITIES, INC.

CRD#: 23506

Past

September 12, 1992 - November 20, 1992

AMERINATIONAL FINANCIAL SERVICES, INC.

CRD#: 27986

Past

May 8, 1990 - August 8, 1990

MUTUAL SECURITIES, INC.

CRD#: 13092

CAMARILLO, CA

Past

August 21, 1989 - February 8, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

January 19, 1988 - January 26, 1988

GLOBALVEST SECURITIES, (USA), INC

CRD#: 15458

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

Series 63

Date: 6/26/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/16/1988

General Securities Representative Examination

Current Firm

M.L. STERN & CO., LLC.

M. L. STERN & CO, LLC. | M.L. STERN & CO., LLC. | M.L. STERN & CO. INC.

CRD#: 8327 / SEC#: , 8-25028

Terminated by SEC on 04/04/2009

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 03/08/1999

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
SWS GROUP, INC	DIRECT OWNDER
BENICKES, MILES LIONEL	EXECUTIVE VICE PRESIDENT	500836
KANG, ANDREW CHANG HO	FINANCIAL AND OPERATIONS PRINCIPAL; CHIEF FINANCIAL OFFICER	1892286
MAURER, DAVID	CHIEF COMPLIANCE OFFICER	4695817
STERN, MILFORD LEE	PRESIDENT	501622

Disclosures

Regulatory Event	10
Arbitration	7

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert B. Meadows

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

M.L. STERN & CO., LLC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

M.L. STERN & CO., LLC.

ANNANDALE SECURITIES, INC.

AMERINATIONAL FINANCIAL SERVICES, INC.

MUTUAL SECURITIES, INC.

LEHMAN BROTHERS INC.

GLOBALVEST SECURITIES, (USA), INC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/26/1993

Series 7

Date: 1/16/1988

Current Firm

M.L. STERN & CO., LLC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

M.L. STERN & CO., LLC.

TRUST BUT VERIFY

Similar Advisors