Robert M. Bayne
Professional summary
Being a previously registered professional could mean that this person 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.
Robert Michael Bayne, who also goes by Rob Bayne, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1992. Robert had worked at 11 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2025 - February 19, 2026
OSAIC INSTITUTIONS, INC.
June 12, 2025 - November 24, 2025
USAA INVESTMENT SERVICES COMPANY
January 8, 2018 - June 29, 2020
USAA INVESTMENT SERVICES COMPANY
February 2, 2009 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
October 2, 2008 - June 18, 2020
USAA FINANCIAL ADVISORS, INC.
August 3, 2004 - September 9, 2008
KESTRA INVESTMENT SERVICES, LLC
August 2, 2004 - September 9, 2008
KESTRA INVESTMENT SERVICES, LLC
May 19, 2003 - August 3, 2004
MM ASCEND LIFE INVESTOR SERVICES, LLC
July 1, 1997 - November 15, 2001
MM ASCEND LIFE INVESTOR SERVICES, LLC
November 13, 1996 - July 11, 1997
DENMARK INVESTMENT SERVICES, INC.
February 29, 1996 - November 4, 1996
INVEST FINANCIAL CORPORATION
February 28, 1996 - November 4, 1996
INVEST FINANCIAL CORPORATION
December 22, 1994 - March 4, 1996
JANNEY MONTGOMERY SCOTT LLC
January 24, 1994 - December 31, 1994
BANC ONE SECURITIES CORPORATION
February 5, 1992 - January 1, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
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
Series 7TO
Date: 3/16/2024
General Securities Representative ExaminationCurrent Firm
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 9 |
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.
