Robert H. Gorelick
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 Henry Gorelick, who also goes by Bob Gorelick, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1973. Robert had worked at 9 firms and has passed the Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2016 - May 9, 2024
CROWN CAPITAL SECURITIES, L.P.
May 29, 1998 - May 18, 2016
NEWPORT COAST SECURITIES, INC.
October 16, 1996 - December 31, 1997
CADARET, GRANT & CO., INC.
January 25, 1996 - October 21, 1996
ATLANTIC PACIFIC FINANCIAL, INC.
April 29, 1993 - January 17, 1996
BUTTONWOOD SECURITIES, INC.
April 24, 1992 - May 11, 1993
WEALTH RESOURCE CAPITAL CORPORATION
April 25, 1991 - May 11, 1992
COAST FINANCIAL ADVISORS, INC.
September 4, 1980 - April 15, 1991
TITAN/VALUE EQUITIES GROUP, INC.
April 6, 1973 - December 13, 1978
JOHN HANCOCK DISTRIBUTORS LLC
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: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 4/2/1973
Registered Representative ExaminationCurrent Firm
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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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