Robert L. Hubbard
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 Lynwood Hubbard JR, who also goes by Bob Hubbard Jr, Bob Hubbard, Robert L Hubbard Jr, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1993. Robert had worked at 5 firms and has passed the Series 63, Series 65, Series 7TO, SIE, 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
May 23, 2017 - May 4, 2020
FIRST CITIZENS INVESTOR SERVICES, INC.
May 18, 2017 - May 4, 2020
FIRST CITIZENS INVESTOR SERVICES, INC.
June 23, 2015 - December 31, 2015
QUEST CAPITAL STRATEGIES, INC.
June 23, 2015 - June 1, 2016
QUEST CAPITAL STRATEGIES, INC.
April 30, 2012 - August 15, 2013
FIRST CITIZENS INVESTOR SERVICES, INC.
April 30, 2012 - August 15, 2013
FIRST CITIZENS INVESTOR SERVICES, INC.
September 26, 2008 - May 1, 2012
QUEST CAPITAL STRATEGIES, INC.
September 4, 2008 - May 1, 2012
QUEST CAPITAL STRATEGIES, INC.
June 22, 2004 - September 12, 2006
JBS LIBERTY SECURITIES, INC.
June 22, 2004 - September 12, 2006
JBS LIBERTY SECURITIES, INC.
October 18, 2002 - April 13, 2004
RBC CAPITAL MARKETS, LLC
October 18, 2002 - April 13, 2004
RBC CAPITAL MARKETS, LLC
December 31, 2001 - October 21, 2002
JBS LIBERTY SECURITIES, INC.
June 1, 1994 - October 21, 2002
JBS LIBERTY SECURITIES, INC.
May 12, 1993 - June 1, 1994
UVEST FINANCIAL SERVICES GROUP, INC.
Primary Firm SEC Registration
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
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: 12/22/2022
General Securities Representative ExaminationCurrent Firm
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST-CITIZENS BANK & TRUST COMPANY | 100% OWNER | |
| BILITER, DAVID LEE | DIRECTOR, PRESIDENT | 1690995 |
| CECE, MARY | SECRETARY | 2135583 |
| LONGEST, MICHAEL LEE | DIRECTOR, SENIOR DIRECTOR WEALTH FINANCE & TECHNOLOGY | 6692593 |
| MARRONE, MARK STEPHEN | CHIEF COMPLIANCE OFFICER | 1987907 |
| MCCALLUM, CHARLES FALCONER III | DIRECTOR, SENIOR DIRECTOR WEALTH RISK & GOVERNANCE | 2697260 |
| WALSH, WILLIAM JAMES | DIRECTOR, FIRST CITIZENS OUTSIDE DIRECTOR | 4883580 |
| WILSON, MICHAEL CHRISTOPHER | DIRECTOR, WEALTH MANAGEMENT EXECUTIVE | 4301352 |
Regulatory assets under management
| Total Number of Accounts | 6,706 |
| AUM (Assets Under Management) | $ 2,098,769,026 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/13/2025 |
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.
