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RB

Robert A. Bellia

Some features on this profile are disabled
CRD#: 2387955
RB

Professional summary

Robert Anthony Bellia JR was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Robert is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Robert had worked at 11 firms, which includes PHD CAPITAL, BROOKSTONE SECURITIES INC., AURA FINANCIAL SERVICES INC., WESTPARK CAPITAL INC., SALOMON GREY FINANCIAL CORPORATION, PACIFIC CORTEZ SECURITIES INCORPORATED, FIRST COLONIAL SECURITIES, SUPPES SECURITIES INC., T.L. GROUP INC., INVESTORS ASSOCIATES INC., ROYCE INVESTMENT GROUP INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rob Bellia | Robert Anthony Bellia

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 4, 2010 - April 30, 2010

PHD CAPITAL

BD
CRD#: 38785
NEW YORK, NY
Past

September 2, 2009 - January 5, 2010

BROOKSTONE SECURITIES, INC.

BD
CRD#: 13366
MASSAPEQUA, NY
Past

June 22, 2007 - August 25, 2009

AURA FINANCIAL SERVICES, INC.

BD
CRD#: 42822
ISLANDIA, NY
Past

March 1, 2006 - July 11, 2007

WESTPARK CAPITAL, INC.

BD
CRD#: 39914
MELVILLE, NY
Past

May 26, 1999 - March 9, 2006

SALOMON GREY FINANCIAL CORPORATION

BD
CRD#: 43413
DALLAS, TX
Past

January 12, 1998 - April 6, 1999

PACIFIC CORTEZ SECURITIES INCORPORATED

BD
CRD#: 24341
SAN DIEGO, CA
Past

April 14, 1997 - August 28, 1997

FIRST COLONIAL SECURITIES

BD
CRD#: 25121
BOCA RATON, FL
Past

November 4, 1996 - April 24, 1997

SUPPES SECURITIES, INC.

BD
CRD#: 13722
NYC, NY
Past

February 13, 1996 - October 28, 1996

T.L. GROUP, INC.

BD
CRD#: 22097
FORT WORTH, TX
Past

September 29, 1995 - November 2, 1995

INVESTORS ASSOCIATES, INC.

BD
CRD#: 958
HACKENSACK, NJ
Past

September 29, 1995 - December 11, 1995

ROYCE INVESTMENT GROUP, INC.

BD
CRD#: 10494
WOODBURY, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/27/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/28/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/23/2000
General Securities Principal Examination

Current Firm

PC
PHD CAPITAL
PERRIN, HOLDEN AND DAVENPORT CAPITAL CORP. | PHD CAPITAL

CRD#: 38785 / SEC#: , 8-48403

BD
Terminated by SEC on 12/10/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 02/07/1995
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BRAFF, NELSON MARCVICE PRESIDENT/COO2629134
EISENMAN, JODY JOSEPHPRESIDENT1263068
HOFFMAN, PETER ROSSCFO2929643
SCHUSTER, SIDNEY JOSEPHCHIEF COMPLIANCE OFFICER2039134

Disclosures

Regulatory Event6
Arbitration2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

PHD CAPITAL

CRD#: 38785

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