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Robert E. Wakefield

ANUBIS SECURITIES LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 2119794
RW

Professional summary

Robert Eugene Wakefield is a registered financial professional currently at ANUBIS SECURITIES LLC located in New York, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2013. Robert has worked at 3 firms and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Eugene Wakefield's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 16, 2015 - Present

ANUBIS SECURITIES LLC

Office #1: 717 Fifth Avenue 18th Floor, New York, NY, 10022
BD
CRD#: 157642
New York, NY
Past

July 24, 2017 - October 30, 2020

RESOURCE SECURITIES LLC

BD
CRD#: 133022
PHILADELPHIA, PA
Past

August 7, 2013 - August 21, 2015

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
DALLAS, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 8/7/2013
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ANUBIS SECURITIES LLC
ANUBIS SECURITIES LLC

CRD#: 157642 / SEC#: , 8-68859

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
717 Fifth Avenue 18th Floor, New York, NY, 10022
Mailing Address
717 Fifth Avenue 18th Floor, New York, NY, 10022
Phone number
(212) 705-5000
Established
Delaware since 01/03/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ANUBIS ADVISORS LLCMEMBER
BLOCK, LAWRENCE STEVENPRINCIPAL, PRESIDENT AND CHIEF COMPLIANCE OFFICER3006613
DORFMAN, ESTEE CARLAFINANCIAL AND OPERATIONS PRINCIPAL; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER2696529

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.

Company Information

ANUBIS SECURITIES LLC

CRD#: 157642New York, NY 10022

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