Robert L. Foggio
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 Foggio, who also goes by Robert Foggio, Foggio Louis Robert Louis, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1991. Robert had worked at 10 firms and has passed the Series 63, Series 79TO, Series 52TO, SIE 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
March 4, 2016 - April 17, 2026
JEFFERIES LLC
June 7, 2013 - March 11, 2016
MORGAN STANLEY & CO. LLC
June 1, 2009 - June 12, 2013
MORGAN STANLEY
April 3, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
May 11, 1998 - December 31, 2008
GOLDMAN SACHS & CO. LLC
March 2, 1998 - April 27, 1998
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
July 17, 1997 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
March 7, 1997 - June 24, 1997
ALEX. BROWN & SONS INCORPORATED
April 20, 1995 - February 10, 1997
SAMUEL A. RAMIREZ & COMPANY, INC.
February 13, 1991 - March 28, 1995
CREDIT SUISSE SECURITIES (USA) 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
JEFFERIES LLC
CRD#: 2347 / SEC#: , 8-15074
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JEFFERIES FINANCIAL GROUP INC | DIRECT OWNER | |
| CAGNO, MARK LAWRENCE | GLOBAL CONTROLLER, MANAGING DIRECTOR | 2510148 |
| FISCELLA, MICHAEL EUGENE | GLOBAL HEAD OF OPERATIONS, MANAGING DIRECTOR | 2490187 |
| FORLENZA, PETER CHARLES | GLOBAL HEAD OF EQUITIES, MANAGING DIRECTOR | 2366985 |
| FRIEDMAN, BRIAN PAUL | DIRECTOR AND CHAIRMAN, EXECUTIVE COMMITTEE | 1298550 |
| HANDLER, RICHARD BRIAN | CHAIRMAN, CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1563245 |
| LARSON, MATTHEW SCOTT | EXECUTIVE VICE PRESIDENT AND CFO/ PRINCIPAL FINANCIAL OFFICER | 2605152 |
| SCORAN, LAURI A | CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR | 2060170 |
| SHARP, MICHAEL JAMES | GENERAL COUNSEL, SECRETARY, EXECUTIVE VICE PRESIDENT | 1013864 |
| STACCONI, JOHN FRANCO | TREASURER | 1814227 |
Disclosures
| Regulatory Event | 133 |
| Arbitration | 4 |
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.
