Robert V. Seropian

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CRD#: 1804735

Professional summary

Robert Vahan Seropian was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Robert is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Robert had worked at 12 firms, which includes ADVANCED PLANNING SECURITIES INC., NATIONS FINANCIAL GROUP INC., R.M. STARK & CO. INC., ARCHER ALEXANDER SECURITIES CORPORATION, STERLING FINANCIAL INVESTMENT GROUP INC., AMERICAN CAPITAL PARTNERS LLC, MILESTONE FINANCIAL SERVICES INC., HAPOALIM SECURITIES USA INC., ROYCE INVESTMENT GROUP INC., KENSINGTON WELLS INCORPORATED, RICKEL & ASSOCIATES INC., SOUTH RICHMOND SECURITIES INC..

Question & Answer

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Aliases

Robert Vahan Deropian

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

May 9, 2005 - November 14, 2006

ADVANCED PLANNING SECURITIES, INC.

CRD#: 14382

FT LAUDERDALE, FL

Past

February 2, 2005 - May 9, 2005

NATIONS FINANCIAL GROUP, INC.

CRD#: 44181

CEDAR RAPIDS, IA

Past

April 15, 2004 - February 1, 2005

R.M. STARK & CO., INC.

CRD#: 7612

LAKE WORTH BEACH, FL

Past

December 20, 2003 - January 14, 2004

NATIONS FINANCIAL GROUP, INC.

CRD#: 44181

CEDAR RAPIDS, IA

Past

May 29, 2003 - December 18, 2003

ARCHER ALEXANDER SECURITIES CORPORATION

CRD#: 41555

KANSAS CITY, MO

Past

March 27, 2003 - May 22, 2003

STERLING FINANCIAL INVESTMENT GROUP, INC.

CRD#: 41506

BOCA RATON, FL

Past

August 6, 2002 - April 21, 2003

AMERICAN CAPITAL PARTNERS, LLC

CRD#: 119249

HAUPPAUGE, NY

Past

February 20, 2002 - August 6, 2002

MILESTONE FINANCIAL SERVICES, INC.

CRD#: 43295

BOHEMIA, NY

Past

October 29, 1999 - March 5, 2002

HAPOALIM SECURITIES USA, INC.

CRD#: 266

NEW YORK, NY

Past

October 24, 1996 - October 29, 1999

ROYCE INVESTMENT GROUP, INC.

CRD#: 10494

WOODBURY, NY

Past

February 7, 1995 - November 19, 1996

KENSINGTON WELLS INCORPORATED

CRD#: 30570

Past

December 23, 1994 - February 7, 1995

RICKEL & ASSOCIATES, INC.

CRD#: 7839

NEW YORK, NY

Past

May 19, 1993 - December 23, 1994

SOUTH RICHMOND SECURITIES, INC.

CRD#: 14913

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: 5/25/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/18/1993

General Securities Representative Examination

Current Firm

ADVANCED PLANNING SECURITIES, INC.

ADVANCED PLANNING SECURITIES, INC. | PICO ALEXANDER CAPITAL CORPORATION

CRD#: 14382 / SEC#: , 8-17981

Terminated by SEC on 02/24/2009

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Contact information

Main Address

Mailing Address

Phone number

Established

New York since 02/01/1974

Firm type

Corporation

Fiscal year end

October

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
ADVANCED PLANNING HOLDING CORP	SHAREHOLDER
CARDELLO, MICHAEL SAM	FINANCIAL PRINCIPAL	718970
POLLINA, CHRISTOPHER CHARLES	PRESIDENT CCO	2552092

Disclosures

Regulatory Event	4
Civil Event	1
Arbitration	2

Red Flags

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Advisor Monitoring

Firm Stability Insights

Robert V. Seropian

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NATIONS FINANCIAL GROUP, INC.

R.M. STARK & CO., INC.

NATIONS FINANCIAL GROUP, INC.

ARCHER ALEXANDER SECURITIES CORPORATION

STERLING FINANCIAL INVESTMENT GROUP, INC.

AMERICAN CAPITAL PARTNERS, LLC

MILESTONE FINANCIAL SERVICES, INC.

HAPOALIM SECURITIES USA, INC.

ROYCE INVESTMENT GROUP, INC.

KENSINGTON WELLS INCORPORATED

RICKEL & ASSOCIATES, INC.

SOUTH RICHMOND SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/25/1993

Series 7

Date: 5/18/1993

Current Firm

ADVANCED PLANNING SECURITIES, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ADVANCED PLANNING SECURITIES, INC.

TRUST BUT VERIFY

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