Robert L. Nastri
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 Louis Nastri was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1992. Robert had worked at 6 firms and has passed the Series 65, Series 63, 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
September 8, 2008 - November 23, 2010
SECURITIES AMERICA, INC.
May 15, 2008 - December 28, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
May 9, 2008 - December 28, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
May 17, 2005 - May 13, 2008
WELLS FARGO CLEARING SERVICES, LLC
September 5, 2002 - May 13, 2008
WELLS FARGO CLEARING SERVICES, LLC
April 29, 2002 - September 10, 2002
RYAN BECK & CO.
September 30, 1996 - May 20, 2002
GRUNTAL & CO., L.L.C.
May 10, 1993 - October 8, 1996
RYAN BECK & CO.
May 21, 1992 - April 24, 1993
FIRST INSTITUTIONAL SECURITIES, L.L.C.
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
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
Red Flags
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