Robert A. Okun
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 Andrew Okun, who also goes by Robert Okun, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1992. Robert had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 3 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
August 21, 2015 - March 12, 2020
STONEBRIDGE SECURITIES LLC
October 19, 2009 - November 5, 2014
SEAPORT GLOBAL SECURITIES LLC
July 13, 2009 - October 23, 2009
BRILL SECURITIES, INC.
June 17, 2003 - March 19, 2007
COWEN AND COMPANY
September 2, 1998 - May 13, 2003
UBS SECURITIES LLC
June 29, 1998 - August 28, 1998
UBS SECURITIES LLC
August 16, 1995 - June 29, 1998
SBC WARBURG DILLON READ INC.
October 24, 1994 - August 17, 1995
WELLS FARGO CLEARING SERVICES, LLC
April 30, 1993 - November 4, 1994
SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.
February 10, 1992 - April 19, 1993
WEDBUSH SECURITIES INC.
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
STONEBRIDGE SECURITIES LLC
CRD#: 47659 / SEC#: , 8-51851
Contact information
FINRA licenses (16 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HENDRICKSON, MICHAEL ALLAN | MANAGING PRINCIPAL& CHIEF COMPLIANCE OFFICER | 242948 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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