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RG

Robert S. Gleason

Some features on this profile are disabled
CRD#: 222951
RG

Professional summary

Robert Spaulding Gleason SR. was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Robert is a previously registered financial advisor and started their career in finance in 1967. Prior to being barred, Robert had worked at 6 firms, which includes ROSS SINCLAIRE & ASSOCIATES LLC, RAYMOND JAMES & ASSOCIATES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, ADVEST INC., FIFTH THIRD SECURITIES INC., ALMSTEDT BROTHERS INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert Spaulding Gleason Sr | Robert Spaulding Gleason

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)

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

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

Past

February 17, 2009 - September 11, 2014

ROSS, SINCLAIRE & ASSOCIATES, LLC

BD
CRD#: 25440
OWENSBORO, KY
Past

February 16, 2007 - February 24, 2009

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
OWENSBORO, KY
Past

February 16, 2007 - February 24, 2009

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
OWENSBORO, KY
Past

September 22, 2006 - February 20, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
OWENSBORO, KY
Past

March 8, 2006 - February 20, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
OWENSBORO, KY
Past

May 11, 1989 - March 8, 2006

ADVEST, INC.

BD
CRD#: 10
OWENSBORO, KY
Past

August 17, 1983 - June 10, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

June 17, 1975 - August 11, 1983

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
Past

June 30, 1967 - July 18, 1975

ALMSTEDT BROTHERS, INC.

BD
CRD#: 31

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/26/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
PC
Date: 11/16/1985
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 1
Date: 6/17/1957
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 9/24/1987
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

RS
ROSS, SINCLAIRE & ASSOCIATES, LLC
CLIENTFIRST FINANCIAL STRATEGIES | RSA SECURITIES, INC. | ROSS, SINCLAIRE & ASSOCIATES, LLC | ROSS, SINCLAIRE & ASSOCIATES, INC. | MIG SECURITIES CORP.

CRD#: 25440 / SEC#: 801-78513, 8-41740

BD
Terminated by SEC on 08/14/2020
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Contact information

Main Address
700 Walnut Street Ste 600, Cincinnati, OH 45202-2027
Mailing Address
Phone number
Established
Ohio since 11/16/2004
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

UPDATED RSAM PART 2B BROCHURE 3 31 2021 (3/31/2021)

Direct owners and executive officers

NamePositionCRD#
SPISAK, KARL A MRFNOP CCO5206890

Disclosures

Regulatory Event11
Arbitration2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

ROSS, SINCLAIRE & ASSOCIATES, LLC

CRD#: 25440

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