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Robert Rondinella

CRD# 1875631·Registered 1991 - 1995
Previously Registered: Being a previously registered professional could mean that Robert 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.

Professional Summary

Robert Rondinella was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1991 - 1995. Robert had worked at 13 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

35 years in the financial services industry

Current & Past Employments

PARAGON CAPITAL MARKETS, INC.·CRD# 18555
BD
East Hanover, NJ
November 24, 1995 - December 22, 1995
VISION INVESTMENT GROUP, INC.·CRD# 28135
BD
August 11, 1995 - December 1, 1995
FIRST NATIONAL EQUITY, CORP.·CRD# 36094
BD
Pt. Pleasant Beach, NJ
July 12, 1995 - July 31, 1995
CORTLANDT CAPITAL CORPORATION·CRD# 25152
BD
New York City, NY
June 13, 1995 - July 19, 1995
LCP CAPITAL CORP.·CRD# 14469
BD
Staten Island, NY
April 13, 1995 - June 29, 1995
PACIFIC CORTEZ SECURITIES INCORPORATED·CRD# 24341
BD
San Diego, CA
February 22, 1995 - April 20, 1995
CARTWRIGHT AND WALKER SECURITIES, INCORPORATED·CRD# 23504
BD
Los Angeles, CA
November 3, 1994 - July 11, 1995
D. BLECH & COMPANY, INCORPORATED·CRD# 26063
BD
New York, NY
December 2, 1993 - July 8, 1994
WESTFIELD FINANCIAL CORPORATION·CRD# 8143
BD
New York, NY
March 11, 1993 - November 22, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
November 6, 1991 - July 22, 1992
JOSEPHTHAL & CO., INC.·CRD# 3227
BD
New York, NY
June 26, 1991 - October 24, 1991
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
April 11, 1991 - April 23, 1991
GRUNTAL & CO., L.L.C.·CRD# 372
BD
New York, NY
April 11, 1991 - June 11, 1991

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Current Firm

PC
PARAGON CAPITAL MARKETS, INC.

ABBOTT, JAY, LEE & CO., INC. | PARAGON CAPITAL MARKETS, INC. | PARAGON CAPITAL MARKETS | PARAGON CAPITAL CORPORATION | NOVATECH SECURITIES, INC. | NOVATECH CAPITAL CORPORATION | NOVATECH CAPITAL CORP.

CRD#: 18555 / SEC#: 8-36765
BD
Cancelled by SEC on 04/09/2004

Contact Information

Established

New Jersey since 08/20/1986

Firm Type

Corporation

Fiscal Year End

March

Documents

Direct owners and executive officers

NamePositionCRD#
DRAKE & COMPANY HOLDINGS, INC.SHAREHOLDER—
LEVINE, DANNY JAYCHAIRMAN, PRESIDENT, CEO, DIRECTOR, CROP, SROP1007419
BARNETT, DAVID BCFO1669970
MATES, BRUCE EDWARDDIRECTOR322676
WESSEL, MICHELECOMPLIANCE DIRECTOR1017763

Disclosures

Regulatory Event

16

Arbitration

10

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1991About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Apr 1991About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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