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Robert S. Calavetta

Some features on this profile are disabled
CRD#: 2399753
RC

Professional summary

Robert Steven Calavetta was barred by the FINRA 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 1993. Prior to being barred, Robert had worked at 7 firms, which includes ROYAL HUTTON SECURITIES CORP., TOLUCA PACIFIC SECURITIES CORP., J.W. BARCLAY & CO. INC., A. R. BARON & CO. INC., DICKINSON & CO., ROBERT TODD FINANCIAL CORP., HANOVER STERLING & COMPANY LTD..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

April 29, 1997 - June 10, 1997

ROYAL HUTTON SECURITIES CORP.

BD
CRD#: 14489
NEW YORK, NY
Past

April 29, 1996 - March 6, 1997

TOLUCA PACIFIC SECURITIES CORP.

BD
CRD#: 13875
BURBANK, CA
Past

January 5, 1996 - April 26, 1996

J.W. BARCLAY & CO., INC.

BD
CRD#: 23350
WOODBRIDGE, NJ
Past

February 1, 1995 - December 22, 1995

A. R. BARON & CO., INC.

BD
CRD#: 29285
NEW YORK, NY
Past

January 9, 1995 - January 27, 1995

DICKINSON & CO.

BD
CRD#: 689
DES MOINES, IA
Past

November 15, 1994 - April 25, 1995

ROBERT TODD FINANCIAL CORP.

BD
CRD#: 7423
NEW YORK, NY
Past

March 16, 1994 - November 15, 1994

HANOVER, STERLING & COMPANY LTD.

BD
CRD#: 15491
NEW YORK, NY
Past

October 20, 1993 - March 24, 1994

A. R. BARON & CO., INC.

BD
CRD#: 29285
NEW YORK, 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: 10/26/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/19/1993
General Securities Representative Examination

Current Firm

RH
ROYAL HUTTON SECURITIES CORP.
FINANCIAL SERVICES MARKETING, INC. | ROYAL HUTTON SECURITIES CORP. | FINANCIAL SERVICES MARKETING,INC.

CRD#: 14489 / SEC#: , 8-30742

BD
Terminated by SEC on 07/08/2001
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 09/26/1983
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CEPARANO, LOUIS CEASAREXECUTIVE VICE PRESIDENT2624648
MILLER, DAVID BRIANEXECUTIVE VICE PRESIDENT2666188

Disclosures

Regulatory Event3
Arbitration9
Bond1

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

ROYAL HUTTON SECURITIES CORP.

CRD#: 14489

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