Robert E. Windham
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 Earl Windham, who also goes by Rob Earl Windham Jr, Rob Earl Windham, Rob Windham Jr, Rob Windham, Robert Earl Windham, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1993. Robert had worked at 10 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2012 - June 25, 2012
HARRISDIRECT LLC
August 17, 2011 - June 25, 2012
E*TRADE SECURITIES LLC
June 8, 2009 - August 19, 2011
NYLIFE SECURITIES LLC
August 27, 2007 - April 3, 2009
ALLSTATE FINANCIAL SERVICES, LLC
October 24, 2006 - January 11, 2007
CHARLES SCHWAB & CO., INC.
June 10, 2005 - January 11, 2007
CHARLES SCHWAB & CO., INC.
December 21, 2000 - October 29, 2004
WELLS INVESTMENT SECURITIES,INC.
September 28, 1998 - November 16, 2000
ALLEN DOUGLAS SECURITIES, INC.
May 23, 1997 - September 28, 1998
TRIAD ADVISORS LLC
November 11, 1993 - May 27, 1997
ROYAL HUTTON SECURITIES CORP.
July 29, 1993 - October 27, 1993
NELSON IVEST BROKERAGE SERVICES, 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
Current Firm
HARRISDIRECT LLC
CRD#: 42159 / SEC#: 801-58085, 8-49730
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| E*TRADE BROKERAGE HOLDINGS, INC. | SHAREHOLDER | |
| ALBINO, MICHAEL JOSEPH | CHIEF COMPLIANCE OFFICER/CROP/SROP - BD | 864412 |
| BOCK, CYNTHIA CRAMER | CORPORATE SECRETARY | |
| CURCIO, MICHAEL JOHN | MANAGER | 1620743 |
| FOSTER, JONATHAN RICE | PRESIDENT | 1037245 |
| HAVENS, GILBERT SCHUYLER | VICE PRESIDENT - IA | 2508109 |
| KAMEDA, ROBIN GEN WAI KIRN | CHIEF COMPLIANCE OFFICER - IA | 1821479 |
| LILIEN, ROBERT JARRETT | CEO, MANAGER | 1337819 |
| REYES, CHRISTOPHER VALENTIN | CHIEF FINANCIAL OFFICER | 2105804 |
| ROBERTS, THOMAS HENRY III | VICE PRESIDENT - BD | 2104665 |
| WILSON, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER - INTERNATIONAL | 2446305 |
Regulatory assets under management
| Total Number of Accounts | 90,806 |
| AUM (Assets Under Management) | $ 7,406,529,807 |
Disclosures
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/23/2023 | ||
| 09/27/2022 | ||
| 12/21/2021 |
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.
