AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RP

Robert L. Palleschi

Some features on this profile are disabled
CRD#: 1809886
RP

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 Louis Palleschi SR, who also goes by Robert Louis Palleschi, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1990. Robert had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53, Series 14, Series 8 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert Louis Palleschi

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

March 7, 2019 - August 27, 2019

FORTE SECURITIES LLC

BD
CRD#: 38373
NEW YORK, NY
Past

July 9, 2015 - January 4, 2019

MIAC CAPITAL MARKETS LLC

BD
CRD#: 172661
New York, NY
Past

August 20, 2010 - July 1, 2014

SUMRIDGE PARTNERS, LLC

BD
CRD#: 152437
JERSEY CITY NJ 07310, NJ
Past

June 18, 2007 - May 13, 2009

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
MITCHEL FIELD, NY
Past

June 18, 2007 - May 13, 2009

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
MITCHEL FIELD, NY
Past

April 2, 2007 - June 4, 2007

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
MELVILLE, NY
Past

April 2, 2007 - June 4, 2007

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
MELVILLE, NY
Past

March 14, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
MELVILLE, NY
Past

September 4, 1996 - September 24, 1996

MIDLAND WALWYN CAPITAL CORPORATION

BD
CRD#: 2775
Past

May 18, 1990 - October 16, 1993

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

May 18, 1990 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
MELVILLE, NY

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
IAR
Series 65
Date: 3/13/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/6/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/10/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 3/30/2010
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 14
Date: 10/25/1993
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 8
Date: 3/21/1991
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 24
Date: 8/14/1990
General Securities Principal Examination

Current Firm

FS
FORTE SECURITIES LLC
FORTE SECURITIES LLC | W.R. MASSIE CAPITAL, L.L.C. | SOUTHLAKE CAPITAL, L.L.C. | MASSIE (W.R.) CAPITAL, L.L.C.

CRD#: 38373 / SEC#: , 8-48201

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
199 Water Street 9th Floor, New York, NY, 10038
Mailing Address
199 Water Street 9th Floor, New York, NY, 10038
Phone number
(929) 999-1783
Established
Delaware since 10/19/2021
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FORTE SECURITIES HOLDINGS, LLCPARENT COMPANY
ARORA, VRINDAFINOP7784034
BASKETT, ERIN ELAINECHIEF COMPLIANCE OFFICER4538604
HERZBERG, ALEXIS ROGERCEO4894127

Disclosures

Regulatory Event3

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

FORTE SECURITIES LLC

CRD#: 38373

TRUST BUT VERIFY

Monitor Robert Palleschi

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics