Robert M. Nadler
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 Mark Nadler, who also goes by Robeit Mark Nadler, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1993. Robert had worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, Series 72, SIE, Series 7, Series 9, Series 10, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2022 - February 27, 2023
OSAIC INSTITUTIONS, INC.
September 27, 2022 - February 27, 2023
OSAIC INSTITUTIONS, INC.
July 10, 2019 - January 19, 2022
CUSO FINANCIAL SERVICES, L.P.
July 10, 2019 - January 19, 2022
CUSO FINANCIAL SERVICES, L.P.
June 28, 2016 - July 12, 2019
CUNA BROKERAGE SERVICES, INC.
June 28, 2016 - July 12, 2019
CUNA BROKERAGE SERVICES, INC.
May 14, 2015 - September 3, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 7, 2015 - September 3, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 1, 2009 - August 4, 2014
FIRST CITIZENS INVESTOR SERVICES, INC.
October 1, 2009 - August 4, 2014
FIRST CITIZENS INVESTOR SERVICES, INC.
June 13, 2008 - October 3, 2008
FIFTH THIRD SECURITIES, INC.
June 13, 2008 - October 3, 2008
FIFTH THIRD SECURITIES, INC.
April 26, 2007 - June 16, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
April 26, 2007 - June 16, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
December 9, 2005 - December 7, 2006
TRUIST INVESTMENT SERVICES, INC.
November 17, 2005 - December 7, 2006
TRUIST INVESTMENT SERVICES, INC.
May 3, 2002 - October 21, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
June 1, 1994 - April 22, 2002
JBS LIBERTY SECURITIES, INC.
September 28, 1993 - June 1, 1994
UVEST FINANCIAL SERVICES GROUP, INC.
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 8
Date: 5/18/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
