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Robert L. Wotczak

Some features on this profile are disabled
CRD#: 1984453
RW

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 Lawrence Wotczak was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1989. Robert had worked at 4 firms and has passed the Series 63, Series 65, Series 79TO, Series 7TO, SIE, Series 7, Series 24, Series 4 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

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

November 18, 2020 - May 27, 2025

PRIME EXECUTIONS, INC.

BD
CRD#: 32889
NEW YORK, NY
Past

November 5, 2002 - November 7, 2003

PRIME EXECUTIONS, INC.

BD
CRD#: 32889
NEW YORK, NY
Past

January 25, 2001 - June 7, 2002

SAFDIE INVESTMENT SERVICES CORP.

RIA
CRD#: 104199
NY, NY
Past

January 8, 2001 - June 7, 2002

SAFDIE INVESTMENT SERVICES CORP.

BD
CRD#: 104199
NEW YORK, NY
Past

October 17, 1989 - August 4, 1998

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

September 19, 1989 - October 26, 1989

HSBC BROKERAGE (USA) INC.

BD
CRD#: 6956
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
RR
Series 63
Date: 11/20/2020
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/15/2001
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 6/11/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/18/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/18/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/16/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/8/2020
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/22/1995
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 1/6/1995
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

PE
PRIME EXECUTIONS, INC.
FREEDOM CAPITAL MARKETS | SILVERMAN BROTHERS, INC. | PRIME EXECUTIONS, INC. | FREEDOM STRATEGIC SOLUTIONS

CRD#: 32889 / SEC#: , 8-43985

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

Main Address
40 Wall Street - 58th Floor, New York, NY 10005
Mailing Address
40 Wall Street - 58th Floor, New York, NY 10005
Phone number
(212) 980-4400
Established
Delaware since 11/12/1987
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (36 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#
FREEDOM HOLDING CORP.HOLDING COMPANY
AGUIAR, ALBERTINTERIM CEO2947566
CARON, WAYNE ROGERCCO1422911
CHASKIN, DAVID RCFO, FINOP, POO, PFO5306238

Disclosures

Regulatory Event2

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

PRIME EXECUTIONS, INC.

CRD#: 32889

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