Robert Burns
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 Burns was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1991. Robert had worked at 5 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2003 - August 20, 2003
HUDSON SECURITIES,INC.
December 17, 2001 - May 29, 2002
MCCRACKEN ADVISORY PARTNERS CORPORATION
July 13, 1998 - September 27, 2001
APEX CLEARING CORPORATION
May 23, 1997 - June 25, 1998
CHARLES SCHWAB & CO., INC.
January 15, 1991 - June 25, 1998
UBS CAPITAL MARKETS L.P.
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 55
Date: 11/25/1998
Limited Representative-Equity Trader ExamCurrent Firm
HUDSON SECURITIES,INC.
CRD#: 10467 / SEC#: , 8-30639
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RODMAN RENSHAW CAPITAL GROUP, INC. | HOLDING COMPANY | |
| HECHLER, RANDY JAY | CCO, DIRECTOR OF COMPLIANCE | 2292597 |
Disclosures
| Regulatory Event | 26 |
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.
