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Robert R. Falaguerra

APOLLO GLOBAL SECURITIES
Miami, FL 33131
Some features on this profile are disabled
CRD#: 2388940
RF

Professional summary

Robert R Falaguerra, who also goes by Robb Falaguerra, Robert Richard Falaguerra Jr, Robert Richard Falaguerra, Robert Richard Jr Falaguerra, is a registered financial professional currently at APOLLO GLOBAL SECURITIES, LLC located in Miami, Florida.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1993. Robert has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robb Falaguerra | Robert Richard Falaguerra Jr | Robert Richard Falaguerra | Robert Richard Jr Falaguerra

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) - BD

Click below to view Robert R Falaguerra's CRS (Customer Relationship Summary).
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®
None

Experience

Current

September 25, 2024 - Present

APOLLO GLOBAL SECURITIES, LLC

Office #1: 701 Brickell Ave Suite 2300, Miami, FL 33131
BD
CRD#: 153502
Miami, FL
Past

April 19, 2023 - September 16, 2024

ARETE WEALTH MANAGEMENT, LLC

BD
CRD#: 44856
CHICAGO, IL
Past

June 28, 2011 - June 9, 2022

BLACKROCK FINANCIAL MANAGEMENT, INC

RIA
CRD#: 107105
NEW YORK, NY
Past

June 28, 2011 - June 9, 2022

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
NEW YORK, NY
Past

May 1, 2010 - December 3, 2010

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

RIA
CRD#: 108257
MINNEAPOLIS, MN
Past

May 1, 2010 - December 3, 2010

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

BD
CRD#: 840
CHICAGO, IL
Past

April 4, 2005 - May 1, 2010

BOFA ADVISORS, LLC

RIA
CRD#: 107900
CHICAGO, IL
Past

October 18, 2004 - April 4, 2005

COLUMBIA MANAGEMENT ADVISORS, INC.

RIA
CRD#: 105842
BOSTON, MA
Past

October 18, 2004 - May 1, 2010

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
CHICAGO, IL
Past

April 27, 1998 - October 18, 2004

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
CHICAGO, IL
Past

April 21, 1998 - October 18, 2004

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

June 4, 1997 - April 21, 1998

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI
Past

January 14, 1997 - June 4, 1997

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
BOSTON, MA
Past

May 22, 1996 - December 31, 1996

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

August 27, 1993 - October 26, 1993

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY

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
Florida
(9/25/2024)
RR
Illinois
(9/25/2024)
RR
Indiana
(9/25/2024)
RR
Iowa
(9/25/2024)
RR
Kentucky
(9/25/2024)
RR
Michigan
(9/25/2024)
RR
Minnesota
(9/25/2024)
RR
Missouri
(9/25/2024)
RR
Nebraska
(9/25/2024)
RR
North Dakota
(9/25/2024)
RR
Ohio
(9/25/2024)
RR
Pennsylvania
(9/25/2024)
RR
Puerto Rico
(9/25/2024)
RR
South Dakota
(9/25/2024)
RR
West Virginia
(9/25/2024)
RR
Wisconsin
(9/25/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/13/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/23/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/16/1996
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/26/1993
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AG
APOLLO GLOBAL SECURITIES, LLC
AP CM, LLC | ATLAS SP SECURITIES | APOLLO GLOBAL SECURITIES, LLC

CRD#: 153502 / SEC#: , 8-68542

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
9 West 57th Street, New York, NY 10019-2701
Mailing Address
9 West 57th Street, New York, NY 10019-2701
Phone number
(212) 515-3200
Established
Delaware since 03/11/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
APOLLO MANAGEMENT HOLDINGS, L.P.MEMBER
CHATTERJEE, WHITNEY AMEMBER BOARD OFMANAGERS7874808
DRESCHER, STEPHANIEHEAD OF MARKETING3055145
LEVY, YAEL KENANCHIEF COMPLIANCE OFFICER4435788
NEEDLEMAN, ERIC DAVIDPRESIDENT2773431
TREBING, ADAM PCFO / FINOP / PFO / POO5828238
TREBING, ADAM PMEMBER BOARD OF MANAGERS5828238

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

APOLLO GLOBAL SECURITIES, LLC

CRD#: 153502Miami, FL 33131

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