Robert A. Carr
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 Alan Carr, who also goes by Rob Carr, Rob Alan Carr, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1989. Robert had worked at 8 firms and has passed the Series 66, Series 63, 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
April 21, 2021 - July 16, 2021
FIDELITY BROKERAGE SERVICES LLC
January 19, 2018 - June 27, 2019
PENSERRA GLOBAL INVESTORS LLC
January 4, 2018 - June 27, 2019
PENSERRA CAPITAL MANAGEMENT LLC
May 13, 2016 - December 31, 2017
PENSERRA GLOBAL INVESTORS LLC
March 17, 2016 - December 31, 2017
PENSERRA CAPITAL MANAGEMENT LLC
May 14, 2014 - June 27, 2019
PENSERRA SECURITIES, LLC
January 3, 2012 - April 4, 2014
FIS BROKERAGE & SECURITIES SERVICES LLC
January 30, 2006 - January 3, 2012
FOX RIVER EXECUTION TECHNOLOGY, LLC
January 31, 2003 - January 27, 2006
WEEDEN & CO.L.P.
December 21, 1989 - February 7, 2003
NATIONAL FINANCIAL SERVICES LLC
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/6/1999
Limited Representative-Equity Trader ExamCurrent Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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.
