Robert J. Zannotti
Professional summary
Robert J Zannotti was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Robert had worked at 6 firms, which includes KIMBALL & CROSS INVESTMENT MANAGEMENT CORP., LASALLE ST SECURITIES L.L.C., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, NYLIFE SECURITIES LLC, JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, SIGNATOR INVESTORS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2001 - October 25, 2005
KIMBALL & CROSS INVESTMENT MANAGEMENT CORP.
October 26, 2000 - March 19, 2001
LASALLE ST SECURITIES, L.L.C.
February 7, 1995 - August 27, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 25, 1992 - September 29, 1994
NYLIFE SECURITIES LLC
May 31, 1991 - June 12, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
May 31, 1991 - June 12, 1992
SIGNATOR INVESTORS, 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
KIMBALL & CROSS INVESTMENT MANAGEMENT CORP.
CRD#: 2438 / SEC#: , 8-27504
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KIMBALL & CROSS WEB CAPITAL, INC. | HOLDING COMPANY | |
| HUDSON VALLEY CAPITAL MANAGEMENT, LLC | SHAREHOLDER | |
| CLIFFORD, JOHN CHANDLER | DIRECTOR, CFO, CCO, FIN/OP, CROP/ROP, GEN. SECURITIES PRIN. | 2249584 |
| DOLLER, CHARLES WILLIAM III | DIRECTOR | 2389795 |
| GILLIS, MARK JOSEPH | DIRECTOR | 2381496 |
| LAINE, RICHARD REINO JR | DIRECTOR, PRESIDENT, CEO, GENERAL SECURITIES PRINCIPAL | 2640877 |
| TOBIN, JOHN EDWARD | DIRECTOR, TREASURER, GENERAL SECURITIES PRINCIPAL | 2337695 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
Red Flags
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