AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
RK

Robert Joseph Kirk

CRD# 2179168·Registered 1992 - 2013
Previously Registered: Being a previously registered professional could mean that Robert 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.

Professional Summary

Robert Joseph Kirk was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1992 - 2013. Robert had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 4 exams.

At a Glance

—

Fiduciary Standard

—

Fee Structure

—

Account Minimum

—

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
View profile
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Contact Information

No current employment

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Years of Experience

34 years in the financial services industry

Current & Past Employments

1ST GLOBAL CAPITAL CORP.·CRD# 30349
BD
Dallas, TX
July 6, 2011 - March 27, 2013
PENSON FINANCIAL SERVICES, INC.·CRD# 25866
BD
Dallas, TX
January 5, 2006 - May 23, 2011
MAY FINANCIAL CORPORATION·CRD# 3927
BD
Dallas, TX
April 3, 2002 - May 6, 2004
HILLTOP SECURITIES INC.·CRD# 6220
BD
Dallas, TX
July 16, 2001 - November 22, 2004
INTERNATIONAL EXCHANGE BROKERS, LLC.·CRD# 44155
BD
Dallas, TX
May 4, 1998 - August 2, 1999
JOSEPHTHAL & CO., INC.·CRD# 3227
BD
New York, NY
January 10, 1994 - April 28, 1998
DUKE & CO., INC.·CRD# 8035
BD
New York, NY
May 5, 1993 - January 5, 1994
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
November 3, 1992 - March 3, 1993
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
May 7, 1992 - September 11, 1992
AMERICAN BOND GROUP, INC.·CRD# 18318
BD
April 7, 1992 - November 5, 1992

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Current Firm

1G
1ST GLOBAL CAPITAL CORP.

1ST GLOBAL CAPITAL CORP.

CRD#: 30349 / SEC#: 8-44870
BD
Terminated by SEC on 01/04/2020

Contact Information

Established

Delaware since 05/19/1992

Firm Type

Corporation

Fiscal Year End

June

Documents

Direct owners and executive officers

NamePositionCRD#
STEWART, EVERETT PAUL JREVP, CCO2025188

Disclosures

Regulatory Event

3

Arbitration

1

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

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 65 — Uniform Investment Adviser Law Examination

Passed Dec 1997About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1992About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Apr 1992About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Mar 2004About the Series 24 exam

Series 4 — Registered Options Principal Examination

Passed Mar 1999About the Series 4 exam

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

CRS (Client Relationship Summary)

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

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#
RK
Follow Robert
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required