Robert F. Favata
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 Francis Favata, who also goes by Rob Favata, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1994. Robert had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2020 - December 31, 2021
PORTSMOUTH FINANCIAL SERVICES
November 2, 2017 - May 27, 2020
SECURIAN FINANCIAL SERVICES, INC.
April 8, 2015 - August 11, 2016
MML INVESTORS SERVICES, LLC
February 13, 2009 - April 3, 2015
METLIFE INVESTORS DISTRIBUTION COMPANY
July 19, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
July 19, 2005 - March 6, 2009
MSI FINANCIAL SERVICES, INC.
June 10, 2004 - June 10, 2005
AMERITAS INVESTMENT COMPANY, LLC
March 20, 2003 - June 16, 2004
MML INVESTORS SERVICES, LLC
February 7, 2003 - June 16, 2004
MML INVESTORS SERVICES, LLC
February 10, 1999 - February 12, 2003
MONY SECURITIES CORPORATION
July 29, 1996 - May 5, 1999
THE ADVISORS GROUP, INC.
September 6, 1994 - July 26, 1996
KEOGLER, MORGAN & COMPANY, INC.
April 4, 1994 - September 8, 1994
PACIFIC CORTEZ SECURITIES INCORPORATED
March 28, 1994 - March 31, 1994
CHATFIELD DEAN & CO., INC.
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
Current Firm
PORTSMOUTH FINANCIAL SERVICES
CRD#: 13980 / SEC#: , 8-30097
Contact information
FINRA licenses (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 31 |
| AUM (Assets Under Management) | $ 3,671,748 |
Disclosures
| Regulatory Event | 4 |
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.
