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RV

Robert A. Vollbrecht

FIRST LIBERTIES FINANCIAL
TAMPA, FL 33602
Some features on this profile are disabled
CRD#: 2316065
RV

Professional summary

Robert Alan Vollbrecht MR. was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1993. Prior to being barred, Robert has worked at 3 firms, which includes WORKMAN SECURITIES CORPORATION, LFK INCORPORATED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert Alan Vollbrecht

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) - BD

Click below to view Robert Alan Vollbrecht MR.'s CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

May 4, 2012 - Present

FIRST LIBERTIES FINANCIAL

Office #1: 2915 N. Boulevard Suite A, Tampa, FL 33602
BD
CRD#: 14432
TAMPA, FL
Past

May 31, 2007 - June 25, 2010

WORKMAN SECURITIES CORPORATION

RIA
CRD#: 31898
EDEN PRAIRIE, MN
Past

June 13, 2002 - June 25, 2010

WORKMAN SECURITIES CORPORATION

BD
CRD#: 31898
EDEN PRAIRIE, MN
Past

March 18, 1993 - January 3, 2003

LFK INCORPORATED

BD
CRD#: 6689
MINNETONKA, MN

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Minnesota
(5/7/2012)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/25/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/22/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 5/10/1996
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 3/15/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/7/2002
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/23/1993
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FL
FIRST LIBERTIES FINANCIAL
FIRST LIBERTIES FINANCIAL | FIRST LIBERTIES SECURITIES,INC. | FIRST LIBERTIES SECURITIES, INC.

CRD#: 14432 / SEC#: , 8-30673

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
2915 N. Boulevard Suite A, Tampa, FL 33602
Mailing Address
2915 N. Boulevard Suite A, Tampa, FL 33602
Phone number
(917) 639-5451
Established
New York since 10/12/1983
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PELION FINANCIAL GROUP, INC.OWNER
BERGMAN, HILARY GUYDIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER1834738

Disclosures

Regulatory Event2

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.

Company Information

FIRST LIBERTIES FINANCIAL

CRD#: 14432Tampa, FL 33602

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