Robert D. Krumme

FINALIS SECURITIES LLC

New York, NY 10003

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CRD#: 2171915

Professional summary

Robert D Krumme, who also goes by Bob Krumme, Robert Darrell Krumme Jr, Robert Darrell Krumme, Robert Krumme, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1992. Robert has worked at 11 firms and has passed the Series 63, Series 82TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bob Krumme | Robert Darrell Krumme Jr | Robert Darrell Krumme | Robert Krumme

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 D Krumme'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

July 11, 2024 - Present

FINALIS SECURITIES LLC

Office #1: 228 Park Ave South Suite 85550, New York, NY 10003

CRD#: 305908

New York, NY

Past

July 24, 2015 - February 16, 2016

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

March 5, 2014 - December 9, 2014

THE BUCKINGHAM RESEARCH GROUP INCORPORATED

CRD#: 13233

NEW YORK, NY

Past

March 28, 2006 - June 3, 2008

CANACCORD GENUITY LLC

CRD#: 1020

NEW YORK, NY

Past

August 19, 2003 - March 14, 2006

THOMAS WEISEL PARTNERS LLC

CRD#: 46237

SAN FRANCISCO, CA

Past

November 16, 1999 - August 19, 2003

BMO CAPITAL MARKETS CORP.

CRD#: 16686

NEW YORK, NY

Past

March 25, 1998 - November 23, 1999

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

June 27, 1997 - March 23, 1998

LAIDLAW GLOBAL SECURITIES, INC.

CRD#: 19018

NEW YORK, NY

Past

August 5, 1994 - April 4, 1997

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

September 28, 1993 - August 3, 1994

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

April 28, 1992 - October 20, 1993

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(8/26/2024)

Exams

State Security Law Exam

Series 63

Date: 4/22/2024

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 82TO

Date: 7/9/2024

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 2/16/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/5/2014

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/7/2014

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FINALIS SECURITIES LLC

DEALSYTE SECURITIES LLC | FINALIS SECURITIES LLC

CRD#: 305908 / SEC#: , 8-70425

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

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Contact information

Main Address

228 Park Ave South Suite 85550, New York, NY 10003

Mailing Address

228 Park Ave South Suite 85550, New York, NY 10003

Phone number

(800) 962-0418

Established

Delaware since 09/10/2019

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FINALIS, INC.	HOLDING COMPANY
AZARY, DENNIS MICHAEL	CEO/CCO/FINOP	2384263

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Robert D. Krumme

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert D Krumme's CRS (Customer Relationship Summary).

Certified licenses

Experience

CANTOR FITZGERALD & CO.

THE BUCKINGHAM RESEARCH GROUP INCORPORATED

CANACCORD GENUITY LLC

THOMAS WEISEL PARTNERS LLC

BMO CAPITAL MARKETS CORP.

LADENBURG THALMANN & CO. INC.

LAIDLAW GLOBAL SECURITIES, INC.

CREDIT SUISSE SECURITIES (USA) LLC

LEHMAN BROTHERS INC.

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/22/2024

Series 82TO

Date: 7/9/2024

SIE

Date: 2/16/2016

Series 7

Date: 3/5/2014

Series 24

Date: 10/7/2014

FINRA

Current Firm

FINALIS SECURITIES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FINALIS SECURITIES LLC

TRUST BUT VERIFY

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