RC
Robert H. Chess
L.M. KOHN & COMPANY
Cincinnati, OH 45242
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CRD#: 2444560
RC
Professional summary
Robert Hubert Chess JR, who also goes by Bob Chess, Robert H Jr Chess, Robert Hubert Chess Jr, is a registered financial advisor currently at L.M. KOHN & COMPANY located in Cincinnati, Ohio.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Robert has worked at 7 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 14, Series 53, Series 4, Series 24 and Series 27 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Chess | Robert H Jr Chess | Robert Hubert Chess Jr
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.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Hubert Chess JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Hubert Chess JR's 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®
NoneExperience
Current
October 4, 2021 - Present
L.M. KOHN & COMPANY
Office #1: 10151 Carver Rd. Suite 100, Cincinnati, OH 45242RIA
BD
CRD#: 27913
Cincinnati, OH
Current
October 4, 2021 - Present
L.M. KOHN & COMPANY
Office #1: 10151 Carver Rd. Suite 100, Cincinnati, OH 45242RIA
BD
CRD#: 27913
Cincinnati, OH
Past
January 20, 2015 - October 6, 2021
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
CINCINNATI, OH
Past
August 26, 2014 - October 6, 2021
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
CINCINNATI, OH
Past
January 11, 2012 - October 9, 2012
STATE FARM VP MANAGEMENT CORP.
BD
CRD#: 43036
BLOOMINGTON, IL
Past
May 1, 2008 - July 23, 2010
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
CINCINNATI, OH
Past
September 16, 2004 - April 4, 2008
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
CINCINNATI, OH
Past
October 11, 1994 - September 13, 2004
LUMENT SECURITIES, LLC
BD
CRD#: 14840
COLUMBUS, OH
Past
March 28, 1994 - June 30, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
March 28, 1994 - June 30, 1994
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LK
L.M. KOHN & COMPANY
A. TURNER FINANCIAL | VISION FINANCIAL PARTNERS | TRUE HARBOUR WEALTH MANAGEMENT | THE TATLAN GROUP | TANKE FINANCIAL GROUP | ROBERT BRYAN FITZPATRICK PC | PRIVATE WEALTH & RETIREMENT SERVICES, LLC | PREFERRED PENSION SOLUTIONS | PLANNING WORKS, LLC | PILOT WEALTH MANAGEMENT | PARADIGM BENEFITS, LLC | NORRIS & COMPANY WEALTH MANAGEMENT, LLC | MILLENNIUM FINANCIAL | MAYHEW WEALTH MANAGEMENT | M3 WEALTH MANAGEMENT/KING FINANCIAL INC./PINZONE FINANCIAL SERVICES/HEALY FINANCIAL SERVICES | LOVE & ASSOCIATES | LOOMIS WEALTH MANAGEMENT, LLC. | LIGHTHOUSE AGENCY INC. | L.M. KOHN NORTH | L.M. KOHN & COMPANY | KOHN WEALTH MANAGEMENT ADVISORS, LLC. | KOHN FINANCIAL CORPORATION | JMK WEALTH ADVISORS | JLA CAPITAL | GROUP PLANS INSURANCE AGENCY INC - A DIVISION OF SHEAKLEY | GREEN & HALLIBURTON, INC. | GELMAN PENSION CONSULTING/CORNERSTONE PENSION CONSULTING | FINANCIAL DESIGNS, LLC | CYR FINANCIAL SERVICES / SHAREFAX FINANCIAL SERVICES | CONWAY FINANCIAL GROUP | CITIZENS FINANCIAL SERVICES | CGI WEALTH MANAGEMENT | CARPENTER WEALTH MANAGEMENT | BUTLER BENEFIT BROKERS INC. | BAKER & COMPANY | ART ROSSER FINANCIAL SERVICES GROUP | ALDYN CAPITAL, LLC
CRD#: 27913 / SEC#: 801-38116, 8-43303
RIA
Registered Investment Advisory firm - SEC (1/18/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Kentucky(10/4/2021)
IAR
Ohio(10/4/2021)
RR
Ohio(10/5/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LK
L.M. KOHN & COMPANY
A. TURNER FINANCIAL | VISION FINANCIAL PARTNERS | TRUE HARBOUR WEALTH MANAGEMENT | THE TATLAN GROUP | TANKE FINANCIAL GROUP | ROBERT BRYAN FITZPATRICK PC | PRIVATE WEALTH & RETIREMENT SERVICES, LLC | PREFERRED PENSION SOLUTIONS | PLANNING WORKS, LLC | PILOT WEALTH MANAGEMENT | PARADIGM BENEFITS, LLC | NORRIS & COMPANY WEALTH MANAGEMENT, LLC | MILLENNIUM FINANCIAL | MAYHEW WEALTH MANAGEMENT | M3 WEALTH MANAGEMENT/KING FINANCIAL INC./PINZONE FINANCIAL SERVICES/HEALY FINANCIAL SERVICES | LOVE & ASSOCIATES | LOOMIS WEALTH MANAGEMENT, LLC. | LIGHTHOUSE AGENCY INC. | L.M. KOHN NORTH | L.M. KOHN & COMPANY | KOHN WEALTH MANAGEMENT ADVISORS, LLC. | KOHN FINANCIAL CORPORATION | JMK WEALTH ADVISORS | JLA CAPITAL | GROUP PLANS INSURANCE AGENCY INC - A DIVISION OF SHEAKLEY | GREEN & HALLIBURTON, INC. | GELMAN PENSION CONSULTING/CORNERSTONE PENSION CONSULTING | FINANCIAL DESIGNS, LLC | CYR FINANCIAL SERVICES / SHAREFAX FINANCIAL SERVICES | CONWAY FINANCIAL GROUP | CITIZENS FINANCIAL SERVICES | CGI WEALTH MANAGEMENT | CARPENTER WEALTH MANAGEMENT | BUTLER BENEFIT BROKERS INC. | BAKER & COMPANY | ART ROSSER FINANCIAL SERVICES GROUP | ALDYN CAPITAL, LLC
CRD#: 27913 / SEC#: 801-38116, 8-43303
RIA
Registered Investment Advisory firm - SEC (1/18/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
10151 Carver Rd. Suite 100, Cincinnati, OH 45242
Mailing Address
10151 Carver Rd. Suite 100, Cincinnati, OH 45242
Phone number
(513) 792-0301
Established
Ohio since 11/27/1990
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
85
SEC notice filing (5 States and Territories)
FINRA licenses (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,799 |
| AUM (Assets Under Management) | $ 2,091,208,747 |
Disclosures
| Regulatory Event | 1 |
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
L.M. KOHN & COMPANY
CRD#: 27913Cincinnati, OH 45242TRUST BUT VERIFY
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