Robert L. Pellati
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 Louis Pellati, who also goes by Rob Pellati, Robert Pellati, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1990. Robert had worked at 19 firms and has passed the Series 66, Series 63, Series 7TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2020 - October 13, 2021
CHARLES SCHWAB & CO., INC.
January 30, 2020 - October 13, 2021
CHARLES SCHWAB & CO., INC.
May 22, 2018 - January 3, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 17, 2018 - January 3, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 13, 2017 - January 3, 2020
RAYMOND JAMES & ASSOCIATES, INC.
September 7, 2017 - January 3, 2020
RAYMOND JAMES & ASSOCIATES, INC.
August 12, 2015 - December 19, 2016
INVESTORS CAPITAL CORP.
August 12, 2015 - December 31, 2016
LEGEND EQUITIES CORPORATION
August 12, 2015 - January 9, 2017
VSR FINANCIAL SERVICES, INC.
August 12, 2015 - August 31, 2017
SUMMIT BROKERAGE SERVICES, INC.
August 12, 2015 - August 31, 2017
GIRARD SECURITIES, INC.
August 12, 2015 - August 31, 2017
FIRST ALLIED SECURITIES, INC.
October 20, 2014 - October 21, 2016
CETERA ADVISORS LLC
October 20, 2014 - August 31, 2017
CETERA INVESTMENT ADVISERS LLC
October 20, 2014 - August 31, 2017
CETERA WEALTH SERVICES, LLC
October 15, 2014 - August 31, 2017
CETERA INVESTMENT SERVICES LLC
October 15, 2014 - August 31, 2017
CETERA FINANCIAL SPECIALISTS LLC
October 15, 2014 - August 31, 2017
CETERA ADVISORS LLC
October 15, 2014 - August 31, 2017
CETERA WEALTH SERVICES, LLC
January 23, 2013 - October 7, 2014
KESTRA INVESTMENT SERVICES, LLC
January 23, 2013 - October 7, 2014
KESTRA INVESTMENT SERVICES, LLC
July 20, 2012 - November 28, 2012
WADDELL & REED
May 25, 2012 - November 28, 2012
WADDELL & REED
October 4, 2001 - February 25, 2011
CANTOR FITZGERALD & CO.
June 11, 1997 - November 6, 2000
CANTOR FITZGERALD & CO.
August 28, 1996 - May 13, 1997
ROBERTSON, STEPHENS & COMPANY LLC
March 20, 1990 - July 8, 1996
CANTOR FITZGERALD & CO.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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: 7/1/2024
General Securities Representative ExaminationSeries 57TO
Date: 7/1/2024
Securities Trader ExamSeries 55
Date: 12/17/1999
Limited Representative-Equity Trader ExamCurrent Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
