Robert M. Lipsky
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 Mark Lipsky was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1991. Robert had worked at 7 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 1996 - November 23, 1998
US TRADING LLC
April 23, 1996 - March 14, 1997
CYGNET SECURITIES, INC.
February 29, 1996 - July 10, 2001
ON-SITE TRADING, INC.
October 10, 1994 - January 9, 1998
VISTA SECURITIES INC.
June 23, 1994 - July 11, 1996
LIGHTSPEED TRADING, LLC
June 18, 1993 - January 30, 1996
SCHON-EX LLC
January 21, 1991 - January 23, 1996
SCHONFELD SECURITIES, 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
Current Firm
US TRADING LLC
CRD#: 37426 / SEC#: , 8-47729
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARLIN GROUP LLC | OWNER OF US TRADING LLC | |
| COAKLEY, JOHN JOSEPH | ROP | 1852324 |
| COAKLEY, JOHN JOSEPH | SROP | 1852324 |
| COAKLEY, JOHN JOSEPH | CROP | 1852324 |
| FROMMER, JEREMY PHILLIP | PRESIDENT/ COO | 2099159 |
| KORNFELD, LYNDA ANN | CHIEF COMPLIANCE OFFICER | 3162347 |
| RISI, SALVATORE ANTHONY | FIN-OP | 1072513 |
| RONAN, DENNIS MICHAEL | ORDER ROOM MANAGER | 1020860 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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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