Robert A. Fortino

UOB GLOBAL EQUITY SALES LLC

New York, NY 10036

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CRD#: 1905741

Professional summary

Robert Anthony Fortino is a registered financial professional currently at UOB GLOBAL EQUITY SALES LLC located in New York, New York and HENLEY & COMPANY LLC located in Uniondale, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1998. Robert has worked at 41 firms and has passed the Series 99TO, SIE and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Robert Anthony Fortino's CRS (Customer Relationship Summary).

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

Current

September 26, 2003 - Present

UOB GLOBAL EQUITY SALES LLC

Office #1: 592 Fifth Avenue Suite 602, New York, NY 10036

CRD#: 126500

New York, NY

Current

November 1, 2004 - Present

HENLEY & COMPANY LLC

Office #1: 506 Rxr Plaza, Uniondale, NY 11556

CRD#: 131453

UNIONDALE, NY

Current

January 12, 2007 - Present

SCHRODER FUND ADVISORS LLC

Office #1: 7 Bryant Park, New York, NY 10018-3706Office #2: 7 Bryant Park, New York, NY 10018-3706

CRD#: 24129

New York, NY

Current

May 13, 2016 - Present

HEDGESERV INVESTMENT SERVICES LLC

Office #1: 8081 Arco Corporate Drive Suite 100, Raleigh, NC 27617

CRD#: 154725

Raleigh, NC

Current

August 5, 2016 - Present

BAIN CAPITAL MARKETS, LLC

Office #1: 200 Clarendon Street, Boston, MA 02116

CRD#: 175456

Boston, MA

Current

March 17, 2020 - Present

PACENOTE CAPITAL LLC

Office #1: 3200 Hillview Rd, Austin, TX 78703

CRD#: 305007

AUSTIN, TX

Current

February 1, 2022 - Present

CIC MARKET SOLUTIONS, INC.

Office #1: 520 Madison Avenue 36th Floor, New York, NY, 10022

CRD#: 47069

New York, NY

Current

September 27, 2022 - Present

THL CAPITAL MARKETS, LLC

Office #1: 100 Federal Street, Boston, MA 02110

CRD#: 316511

BOSTON, MA

Past

April 13, 2022 - June 10, 2022

REVOLUT SECURITIES INC.

CRD#: 304600

NEW YORK, NY

Past

October 1, 2020 - October 20, 2021

GSP SECURITIES LLC

CRD#: 146250

NEW YORK, NY

Past

June 12, 2019 - February 20, 2024

BC PARTNERS SECURITIES LLC

CRD#: 300947

New York, NY

Past

August 1, 2018 - March 28, 2024

AFL-CIO ITC FINANCIAL, LLC

CRD#: 175356

WASHINGTON, DC

Past

August 17, 2017 - June 11, 2019

DMS CAPITAL SOLUTIONS, INC.

CRD#: 150695

NEW YORK, NY

Past

March 31, 2014 - February 1, 2017

FOCUSPOINT PRIVATE CAPITAL GROUP

CRD#: 122341

NEW YORK, NY

Past

March 27, 2014 - March 31, 2014

FOCUSPOINT PRIVATE CAPITAL GROUP

CRD#: 122341

NEW YORK, NY

Past

November 20, 2013 - September 3, 2025

CLARION PARTNERS SECURITIES, LLC

CRD#: 166384

NEW YORK, NY

Past

September 25, 2013 - September 26, 2014

FANTEX BROKERAGE SERVICES, LLC

CRD#: 164783

SAN FRANCISCO, CA

Past

September 9, 2013 - December 2, 2013

CENTENIUM ADVISORS, LLC

CRD#: 135778

NEW YORK, NY

Past

March 13, 2013 - December 31, 2018

STANDARD LIFE INVESTMENTS SECURITIES LLC

CRD#: 157233

BOSTON, MA

Past

June 24, 2010 - January 26, 2015

WATERMILL INSTITUTIONAL TRADING LLC

CRD#: 150892

Jersey City, NJ

Past

January 15, 2010 - July 1, 2011

PCS DUNBAR SECURITIES, LLC

CRD#: 128144

PURCHASE, NY

Past

January 7, 2010 - February 28, 2013

FLETCHERBENNETT CAPITAL LLC

CRD#: 150847

RYE, NY

Past

October 15, 2009 - May 17, 2011

GLOBEOP MARKETS LIMITED

CRD#: 143787

HARRISON, NY

Past

August 26, 2009 - May 14, 2011

NEWOAK CAPITAL MARKETS LLC

CRD#: 104063

NEW YORK, NY

Past

August 8, 2008 - January 29, 2009

JLTS, LLC

CRD#: 146482

NEW YORK, NY

Past

July 7, 2008 - September 21, 2009

DEER ISLE CAPITAL, LLC

CRD#: 146269

EAST HAMPTON, NY

Past

May 6, 2008 - June 22, 2020

FIRST AVENUE

CRD#: 145860

NEW YORK, NY

Past

November 1, 2006 - November 14, 2018

CIC MARKET SOLUTIONS, INC.

CRD#: 47069

NEW YORK, NY

Past

July 3, 2006 - February 22, 2008

SEACAP SECURITIES LLC

CRD#: 133994

NEW YORK, NY

Past

May 18, 2006 - February 21, 2008

ATLAS STRATEGIC ADVISORS, LLC

CRD#: 138970

NEW YORK, NY

Past

May 4, 2006 - July 27, 2010

SKANDIA SECURITIES AMERICAS, INC.

CRD#: 126822

BOSTON, MA

Past

February 13, 2006 - February 22, 2008

GOODBODY SECURITIES INC

CRD#: 135790

NEW YORK, NY

Past

February 8, 2006 - February 14, 2017

UOB KAY HIAN (U.S.) INC.

CRD#: 127314

Maplewood, NJ

Past

November 2, 2005 - August 15, 2011

CUE CAPITAL LIMITED PARTNERSHIP

CRD#: 132503

NEW YORK, NY

Past

February 12, 2004 - February 21, 2008

SKYWORKS SECURITIES, LLC

CRD#: 128985

GREENWICH, CT

Past

February 10, 2004 - September 17, 2010

UPDATA SECURITIES, INC.

CRD#: 128333

EDISON, NJ

Past

January 6, 2003 - June 16, 2006

FREEMAN & CO. SECURITIES LLC

CRD#: 118939

NEW YORK, NY

Past

April 17, 2002 - January 27, 2003

PARETO SECURITIES INC.

CRD#: 44734

NEW YORK, NY

Past

December 22, 2000 - September 16, 2003

STREETEDGE CAPITAL, INC.

CRD#: 104251

NEW YORK, NY

Past

August 2, 2000 - August 24, 2001

BBA SECURITIES CORP.

CRD#: 43512

NEW YORK, NY

Past

July 7, 2000 - November 12, 2003

HANDELSBANKEN MARKETS SECURITIES, INC.

CRD#: 38485

NEW YORK, NY

Past

November 10, 1999 - July 20, 2012

SEABURY SECURITIES LLC

CRD#: 41916

SUMMIT, NJ

Past

November 30, 1998 - March 7, 2000

IRONHORSE SECURITIES INC.

CRD#: 38986

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

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 1/2/2023

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 27

Date: 11/19/1998

Financial and Operations Principal Examination

SRO Registrations

FINRA

Current Firm

THL CAPITAL MARKETS, LLC

FORT HILL CAPITAL MARKETS, LLC | THL CAPITAL MARKETS, LLC

CRD#: 316511 / SEC#: , 8-70807

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

100 Federal Street, Boston, MA 02110

Mailing Address

100 Federal Street, Boston, MA 02110

Phone number

(617) 227-1050

Established

Delaware since 07/30/2021

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
THL CAPITAL MARKETS MANAGER, LLC	SOLE MEMBER
BUSH, SARAH	CHIEF COMPLIANCE OFFICER	5841363
FORTINO, ROBERT ANTHONY	FINOP/PFO/POO	1905741
MAXON, GREGORY ROSS	PRESIDENT	5374395

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Robert A. Fortino

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Anthony Fortino's CRS (Customer Relationship Summary).

Certified licenses

Experience

HENLEY & COMPANY LLC

SCHRODER FUND ADVISORS LLC

HEDGESERV INVESTMENT SERVICES LLC

BAIN CAPITAL MARKETS, LLC

PACENOTE CAPITAL LLC

CIC MARKET SOLUTIONS, INC.

THL CAPITAL MARKETS, LLC

REVOLUT SECURITIES INC.

GSP SECURITIES LLC

BC PARTNERS SECURITIES LLC

AFL-CIO ITC FINANCIAL, LLC

DMS CAPITAL SOLUTIONS, INC.

FOCUSPOINT PRIVATE CAPITAL GROUP

FOCUSPOINT PRIVATE CAPITAL GROUP

CLARION PARTNERS SECURITIES, LLC

FANTEX BROKERAGE SERVICES, LLC

CENTENIUM ADVISORS, LLC

STANDARD LIFE INVESTMENTS SECURITIES LLC

WATERMILL INSTITUTIONAL TRADING LLC

PCS DUNBAR SECURITIES, LLC

FLETCHERBENNETT CAPITAL LLC

GLOBEOP MARKETS LIMITED

NEWOAK CAPITAL MARKETS LLC

JLTS, LLC

DEER ISLE CAPITAL, LLC

FIRST AVENUE

CIC MARKET SOLUTIONS, INC.

SEACAP SECURITIES LLC

ATLAS STRATEGIC ADVISORS, LLC

SKANDIA SECURITIES AMERICAS, INC.

GOODBODY SECURITIES INC

UOB KAY HIAN (U.S.) INC.

CUE CAPITAL LIMITED PARTNERSHIP

SKYWORKS SECURITIES, LLC

UPDATA SECURITIES, INC.

FREEMAN & CO. SECURITIES LLC

PARETO SECURITIES INC.

STREETEDGE CAPITAL, INC.

BBA SECURITIES CORP.

HANDELSBANKEN MARKETS SECURITIES, INC.

SEABURY SECURITIES LLC

IRONHORSE SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 99TO

Date: 1/2/2023

SIE

Date: 1/2/2023

Series 27

Date: 11/19/1998

FINRA

Current Firm

THL CAPITAL MARKETS, LLC

Contact information

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

THL CAPITAL MARKETS, LLC

TRUST BUT VERIFY

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