Robert Carl Schroeder
Professional Summary
Robert Carl Schroeder was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1993 - 2021. Robert had worked at 1 firm and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures on record.
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.
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Years of Experience
33 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
MICHAEL N. TAGLICH, B/D | TAGLICH BROTHERS, INC. | TAGLICH BROTHERS, D'AMADEO, WAGNER & CO., INC.
Contact Information
Main Address
37 Main Street, Cold Spring Harbor, NY 11724Phone Number
(631) 757-1500Established
New York since 11/25/1991Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
5FINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
186AUM (Assets Under Management)
$37,708,683Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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