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Robert Mark Fronjian

CRD# 2156260·Registered 1991 - 2002
Barred: Robert Mark Fronjian was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Robert Mark Fronjian, who also goes by Robert M Fronjian, was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1991 - 2002. Robert had worked at 8 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Robert M Fronjian

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Videos & Posts

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

34 years in the financial services industry

Current & Past Employments

RUMSON CAPITAL, LLC·CRD# 33848
BD
Montebello, NY
October 25, 2001 - January 23, 2002
WORLDCO, L.L.C.·CRD# 24673
BD
New York, NY
July 29, 1999 - October 6, 1999
ELECTRONIC TRADING GROUP, LLC·CRD# 37453
BD
New York, NY
October 5, 1998 - February 16, 1999
AIBC INVESTMENT SERVICES CORPORATION·CRD# 16397
BD
March 7, 1998 - August 10, 1998
JOSEPHTHAL & CO., INC.·CRD# 3227
BD
New York, NY
December 18, 1995 - February 17, 1998
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Weehawken, NJ
February 3, 1994 - February 28, 1995
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
September 25, 1992 - February 17, 1994
H.J. MEYERS & CO., INC.·CRD# 15609
BD
Rochester, NY
March 23, 1992 - September 2, 1992
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
December 9, 1991 - March 23, 1992

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Current Firm

RC
RUMSON CAPITAL, LLC

ANDOVER BROKERAGE CORP. | RUMSON CAPITAL, LLC | ANDOVER BROKERAGE, L.L.C.

CRD#: 33848 / SEC#: 8-46133
BD
Terminated by SEC on 06/16/2003

Contact Information

Established

New York since 01/02/1997

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
PICOZZI, MICHAEL IIIMANAGING MEMBER/CEO2504808
NOCELLA, EDWARD LOUISFNOP1519789

Disclosures

Regulatory Event

7

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1992About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Dec 1991About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Nov 1998About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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