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Robert S. Adams

ALT FUND DISTRIBUTORS LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 2458416
RA

Professional summary

Robert Sean Adams, CFP®, who also goes by Robert S Adams, Robert Seab Adams, is a registered financial professional currently at ALT FUND DISTRIBUTORS LLC located in New York, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1994. Robert has worked at 15 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert S Adams | Robert Seab Adams

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 Sean Adams'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®
CFP®

Certified Financial Planner

Experience

Current

August 1, 2019 - Present

ALT FUND DISTRIBUTORS LLC

Office #1: 140 East 45th Street Suite 15 B, New York, NY 10017
BD
CRD#: 146547
New York, NY
Past

April 8, 2019 - July 29, 2019

MUTUAL SECURITIES, INC.

BD
CRD#: 13092
Parsippany, NJ
Past

April 2, 2019 - July 24, 2019

MACRO CONSULTING GROUP

RIA
CRD#: 108755
PARSIPPANY, NJ
Past

September 27, 2017 - March 11, 2019

ALT FUND DISTRIBUTORS LLC

BD
CRD#: 146547
New York, NY
Past

December 2, 2014 - March 24, 2017

SIGNET FINANCIAL MANAGEMENT, LLC

RIA
CRD#: 105310
MENDHAM, NJ
Past

April 10, 2014 - November 21, 2014

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA
CRD#: 109591
NEW YORK, NY
Past

April 10, 2014 - November 21, 2014

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
PARSIPPANY, NJ
Past

October 25, 2011 - September 9, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SARASOTA, FL
Past

October 25, 2011 - September 9, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SARASOTA, FL
Past

April 7, 2011 - September 30, 2011

PLANMEMBER SECURITIES CORPORATION

RIA
CRD#: 11869
SARASOTA, FL
Past

April 5, 2011 - September 30, 2011

PLANMEMBER SECURITIES CORPORATION

BD
CRD#: 11869
SARASOTA, FL
Past

December 10, 2007 - March 17, 2011

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA
CRD#: 132070
SARASOTA, FL
Past

November 14, 2005 - March 17, 2011

G.F. INVESTMENT SERVICES, LLC

BD
CRD#: 132939
SARASOTA, FL
Past

September 17, 2004 - December 3, 2004

PGIM INVESTMENTS LLC

RIA
CRD#: 105670
JACKSONVILLE, FL
Past

May 17, 1998 - December 3, 2004

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ
Past

July 7, 1995 - February 10, 1998

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI
Past

April 26, 1995 - May 24, 1995

HENNION & WALSH, INC.

BD
CRD#: 25766
PARSIPPANY, NJ
Past

April 18, 1994 - April 19, 1995

INVESTORS ASSOCIATES, INC.

BD
CRD#: 958
HACKENSACK, NJ

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
New Jersey
(1/11/2025)
RR
New York
(8/1/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 10/2/2017
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/6/2007
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/3/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/30/2018
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AF
ALT FUND DISTRIBUTORS LLC
ALT FUND DISTRIBUTORS LLC | CATALYST MUTUALS FUND DISTRIBUTORS LLC | CAPITAL REAL ESTATE SECURITIES, LLC | ASCENT REAL ESTATE SECURITIES, LLC | ASCENT REAL ESTATE SECURITIES LLC

CRD#: 146547 / SEC#: , 8-67829

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

Main Address
140 East 45th Street Suite 15 B, New York, NY 10017
Mailing Address
140 East 45th Street Suite 15 B, New York, NY 10017
Phone number
(646) 757-8062
Established
Colorado since 12/18/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MFUND DISTRIBUTORS LLCOWNER
MEEHAN, KEVIN PATRICKCCO, FINOP4652695
MILDER, LARRY IRWINCEO1306646

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

ALT FUND DISTRIBUTORS LLC

CRD#: 146547New York, NY 10017

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