RB
Robert C. Buckingham
ETC BROKERAGE SERVICES
Dallas, TX 75240
Some features on this profile are disabled
CRD#: 2317506
RB
Professional summary
Robert Clayton Buckingham is a registered financial professional currently at ETC BROKERAGE SERVICES, LLC located in Dallas, Texas.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1993. Robert has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7, Series 9, Series 10, Series 8, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Robert Clayton Buckingham's 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®
NoneExperience
Current
March 7, 2024 - Present
ETC BROKERAGE SERVICES, LLC
Office #1: Three Lincoln Centre 5430 Lbj Freeway, Suite 320, Dallas, TX 75240BD
CRD#: 145276
Dallas, TX
Past
March 30, 2023 - January 10, 2024
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
San Diego, CA
Past
December 20, 2017 - January 11, 2024
TD AMERITRADE CLEARING, INC.
BD
CRD#: 5633
OMAHA, NE
Past
June 1, 1998 - January 11, 2024
TD AMERITRADE, INC.
BD
CRD#: 7870
SAN DIEGO, CA
Past
June 9, 1993 - June 1, 1998
JACK WHITE & COMPANY, INC.
BD
CRD#: 7645
Past
February 8, 1993 - May 5, 1993
CHATFIELD DEAN & CO., INC.
BD
CRD#: 14714
GREENWOOD VILLAGE, CO
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
Alabama(3/7/2024)
RR
Alaska(3/7/2024)
RR
Arizona(3/7/2024)
RR
Arkansas(3/7/2024)
RR
California(3/7/2024)
RR
Colorado(3/7/2024)
RR
Connecticut(3/7/2024)
RR
Delaware(3/7/2024)
RR
District of Columbia(3/7/2024)
RR
Florida(3/7/2024)
RR
Georgia(3/7/2024)
RR
Hawaii(3/7/2024)
RR
Idaho(3/7/2024)
RR
Illinois(3/7/2024)
RR
Indiana(3/7/2024)
RR
Iowa(3/7/2024)
RR
Kansas(3/7/2024)
RR
Kentucky(3/7/2024)
RR
Louisiana(3/7/2024)
RR
Maine(3/7/2024)
RR
Maryland(3/7/2024)
RR
Massachusetts(3/7/2024)
RR
Michigan(3/7/2024)
RR
Minnesota(3/7/2024)
RR
Mississippi(3/7/2024)
RR
Missouri(3/7/2024)
RR
Montana(3/7/2024)
RR
Nebraska(3/7/2024)
RR
Nevada(3/7/2024)
RR
New Hampshire(3/7/2024)
RR
New Jersey(3/7/2024)
RR
New Mexico(3/7/2024)
RR
New York(3/7/2024)
RR
North Carolina(3/7/2024)
RR
North Dakota(3/7/2024)
RR
Ohio(3/8/2024)
RR
Oklahoma(3/7/2024)
RR
Oregon(3/7/2024)
RR
Pennsylvania(3/7/2024)
RR
Puerto Rico(2/11/2025)
RR
Rhode Island(3/7/2024)
RR
South Carolina(3/7/2024)
RR
South Dakota(3/7/2024)
RR
Tennessee(3/7/2024)
RR
Texas(3/7/2024)
RR
Utah(3/7/2024)
RR
Vermont(3/7/2024)
RR
Virginia(3/7/2024)
RR
Washington(3/7/2024)
RR
West Virginia(3/7/2024)
RR
Wisconsin(3/7/2024)
RR
Wyoming(3/7/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 10/27/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
EB
ETC BROKERAGE SERVICES, LLC
COLLECTIVE FINANCIAL SERVICES, LLC | ETC BROKERAGE SERVICES, LLC
CRD#: 145276 / SEC#: , 8-67719
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
5430 Lbj Freeway Suite 320, Dallas, TX 75240
Mailing Address
1 Equity Way, Westlake, OH 44145
Phone number
(877) 403-0369
Established
Connecticut since 05/23/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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
ETC BROKERAGE SERVICES, LLC
CRD#: 145276Dallas, TX 75240TRUST BUT VERIFY
Monitor Robert Buckingham
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
