Robert C. Dean
Professional summary
Robert Carleton Dean is a registered financial professional currently at B. RILEY SECURITIES, INC. located in Arlington, Virginia.
Robert is registered as a RR (Registered Representative) and started their career in finance in 2005. Robert has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Carleton Dean's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 10, 2010 - Present
B. RILEY SECURITIES, INC.
Office #1: 1300 N 17th Street Suite 1300, Arlington, VA 22209August 10, 2017 - November 30, 2017
B. RILEY & CO., LLC
February 1, 2016 - December 3, 2019
MLV & CO. LLC
February 24, 2005 - May 16, 2007
B. RILEY SECURITIES, INC.
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
FINRA
Nasdaq Stock Market
Current Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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