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RW

Robert T. Warnock

SIEBERT WILLIAMS SHANK & CO.
Westport, CT 06880
Some features on this profile are disabled
CRD#: 1962063
RW

Professional summary

Robert Thomas Warnock III, who also goes by Bob Warnock III, Rob Warnock III, Robert Thomas Warnock, is a registered financial professional currently at SIEBERT WILLIAMS SHANK & CO., LLC located in Westport, Connecticut.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1991. Robert has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bob Warnock Iii | Rob Warnock Iii | Robert Thomas Warnock

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 Thomas Warnock III's CRS (Customer Relationship Summary).
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

November 26, 2024 - Present

SIEBERT WILLIAMS SHANK & CO., LLC

Office #1: 8 Wright Street Suite 107, Westport, CT 06880
BD
CRD#: 42568
Westport, CT
Past

September 30, 2015 - October 5, 2023

DAIWA CAPITAL MARKETS AMERICA INC.

BD
CRD#: 1576
NEW YORK, NY
Past

September 8, 2009 - September 24, 2015

CRT CAPITAL GROUP LLC

BD
CRD#: 28830
STAMFORD, CT
Past

October 9, 2007 - September 9, 2009

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

March 30, 2007 - October 2, 2007

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
NEW YORK, NY
Past

May 15, 2000 - March 30, 2007

FHN FINANCIAL SECURITIES CORP.

BD
CRD#: 46346
NEW YORK, NY
Past

March 27, 1998 - June 19, 1998

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY
Past

July 18, 1991 - February 4, 1997

MIZUHO SECURITIES USA LLC

BD
CRD#: 19647
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(11/26/2024)
RR
New York
(12/17/2024)
RR
North Carolina
(11/26/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 7/22/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/9/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 7/3/2007
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

SW
SIEBERT WILLIAMS SHANK & CO., LLC
SIEBERT CISNEROS SHANK & CO., L.L.C. | SIEBERT, BRANDFORD, SHANK & CO., L.L.C. | SIEBERT WILLLIAMS SHANK | SIEBERT WILLIAMS SHANK & CO., LLC

CRD#: 42568 / SEC#: , 8-49877

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
100 Wall Street 18th Floor, New York, NY 10005
Mailing Address
100 Wall Street 18th Floor, New York, NY 10005
Phone number
(646) 775-4850
Established
Delaware since 03/10/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SHANK WILLIAMS CISNEROS, LLCOWNER
CALABRISOTTO, DIANNE NMNAML OFFICER1273900
CALABRISOTTO, DIANNE NMNCHIEF COMPLIANCE OFFICER & COO1273900
CHANDA, ATEESH SINGHCHIEF LEGAL OFFICER6973151
DIAZ, DANIELFINANCIAL PRINCIPAL2214417
HALL, GARYCO-PRESIDENT4393662
SHANK-WERDLOW, SUZANNE FRANCESCEO, DIRECTOR OF PARENT1860931
THOMPSON, WILLIAM COLRIDGE JRCHIEF ADMINISTRATIVE OFFICER2316101
WARNER, SOBANI MULENGACO-PRESIDENT1732009

Disclosures

Regulatory Event4

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

SIEBERT WILLIAMS SHANK & CO., LLC

CRD#: 42568Westport, CT 06880

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