Stephen D. Robbins
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.
Stephen Douglas Robbins, who also goes by Stephen Robbins, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1989. Stephen had worked at 13 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2012 - August 18, 2015
CARLSON INVESTMENTS
March 26, 2008 - May 15, 2008
CORNERSTONE FINANCIAL SERVICES, INC.
March 2, 2000 - October 17, 2006
ROBERT W. BAIRD & CO. INCORPORATED
February 26, 2000 - October 17, 2006
ROBERT W. BAIRD & CO. INCORPORATED
May 13, 1997 - June 11, 1999
ABN AMRO SECURITIES LLC
April 8, 1996 - December 31, 1996
SECURITIES AMERICA, INC.
August 9, 1994 - August 8, 1995
BONDNET BROKERAGE, INCORPORATED
July 20, 1993 - May 6, 1994
REPUBLIC NEW YORK SECURITIES CORPORATION
May 8, 1992 - October 29, 1992
CAPITAL BROKERAGE CORPORATION
April 24, 1991 - April 9, 1992
INVEST FINANCIAL CORPORATION
May 1, 1990 - February 18, 1992
R.C. GOVERNMENT SECURITIES, INC.
March 21, 1990 - December 31, 1990
SHUBERT RIZOR SECURITIES, INC.
June 14, 1989 - February 14, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
June 14, 1989 - February 14, 1990
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
CARLSON INVESTMENTS
CRD#: 105729 / SEC#: 801-34606
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
Current Firm
CARLSON INVESTMENTS
CRD#: 105729 / SEC#: 801-34606
Contact information
SEC notice filing (13 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 901 |
| AUM (Assets Under Management) | $ 694,630,096 |
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.
