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RS

Robert A. Simmen

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CRD#: 1904869
RS

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 Alexander Simmen IV, who also goes by Bob Simmen, Bobby Simmen, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1988. Robert had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bob Simmen | Bobby Simmen

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 21, 2014 - November 12, 2015

CSSC BROKERAGE SERVICES, INC.

BD
CRD#: 141630
LISLE, IL
Past

December 14, 2011 - April 16, 2012

AMERICAN TRUST INVESTMENT SERVICES, INC.

BD
CRD#: 3001
WHITING, IN
Past

November 30, 2007 - December 31, 2009

INSIGHT SECURITIES, INC.

BD
CRD#: 5611
HIGHLAND PARK, IL
Past

November 18, 1999 - November 18, 2005

ACAP FINANCIAL INC.

BD
CRD#: 7731
SALT LAKE CITY, UT
Past

December 7, 1998 - October 25, 1999

LISS FINANCIAL SERVICES

BD
CRD#: 21950
MILWAUKEE, WI
Past

March 31, 1995 - September 4, 1997

R. D. KUSHNIR & CO.

BD
CRD#: 24013
NORTHBROOK, IL
Past

July 9, 1993 - February 7, 1995

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

December 20, 1988 - June 9, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, 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: 8/25/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/3/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/12/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 5/23/1990
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/1988
General Securities Representative Examination

Current Firm

CB
CSSC BROKERAGE SERVICES, INC.
CSSC BROKERAGE SERVICES, INC.

CRD#: 141630 / SEC#: , 8-67401

BD
Terminated by SEC on 08/12/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
Michigan since 02/28/2001
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CSSC SERVICES AND SOLUTIONS, INC.OWNER
RICH, GREGORY ROBERTCHIEF COMPLIANCE OFFICER1316406

Disclosures

Regulatory Event1

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

CSSC BROKERAGE SERVICES, INC.

CRD#: 141630

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