Robert L. Green
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 Laurence Green, who also goes by Robert Lawrence Green, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1988. Robert had worked at 18 firms and has passed the Series 63, Series 7TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2020 - March 24, 2021
LPL FINANCIAL LLC
March 13, 2018 - March 22, 2018
SCF SECURITIES, INC.
January 30, 2014 - July 11, 2016
LPL FINANCIAL LLC
July 21, 2011 - February 14, 2012
NATIONAL SECURITIES CORPORATION
May 13, 2009 - August 12, 2009
WILMINGTON CAPITAL SECURITIES, LLC
November 17, 2006 - September 6, 2007
DAWSON JAMES SECURITIES, INC.
December 6, 2004 - July 29, 2005
WINDSOR STREET CAPITAL, LP
October 1, 2001 - February 5, 2003
LL PARTNERS, INC.
March 26, 1999 - September 23, 1999
BUCKMAN, BUCKMAN & REID, INC.
March 5, 1999 - March 26, 1999
BUCKMAN, BUCKMAN & REID, INC.
August 27, 1998 - March 16, 1999
ROAN CAPITAL PARTNERS L.P.
July 1, 1998 - November 1, 1998
PHD CAPITAL
August 19, 1997 - July 1, 1998
TRAUTMAN WASSERMAN & COMPANY, INC.
December 24, 1996 - August 21, 1997
JWGENESIS SECURITIES, INC.
September 28, 1995 - January 14, 1997
BARINGTON CAPITAL GROUP, L.P.
September 27, 1994 - October 3, 1995
JOSEPHTHAL & CO., INC.
March 29, 1994 - October 26, 1994
D. BLECH & COMPANY, INCORPORATED
July 1, 1991 - April 6, 1994
COMMONWEALTH ASSOCIATES
April 3, 1989 - August 3, 1989
MORGAN STANLEY DW INC.
November 23, 1988 - January 9, 1989
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
Series 7TO
Date: 12/22/2022
General Securities Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
