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RR

Robert M. Rough

DCF
Plano, TX 75093
Some features on this profile are disabled
CRD#: 2466229
RR

Professional summary

Robert Mackintosh Rough is a registered financial professional currently at DCF, LLC located in Plano, Texas.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2009. Robert has worked at 2 firms and has passed the Series 63, Series 65, SIE, Series 82, Series 79 and Series 24 exams.

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) - BD

Click below to view Robert Mackintosh Rough's CRS (Customer Relationship Summary).
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®
None

Experience

Current

October 10, 2014 - Present

DCF, LLC

Office #1: 2500 Dallas Parkway Suite 530, Plano, TX 75093
BD
CRD#: 149102
Plano, TX
Past

October 8, 2009 - October 28, 2013

PILLAR CAPITAL MANAGEMENT, LLC

RIA
CRD#: 150568
DALLAS, TX

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
Texas
(1/15/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 11/14/2014
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 4/12/2010
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 82
Date: 6/24/2016
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 79
Date: 10/10/2014
Investment Banking Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/18/2020
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

DL
DCF, LLC
DCF | DECOSIMO CORPORATE FINANCE, LLC | DECOSIMO CORPORATE FINANCE | DCF, LLC

CRD#: 149102 / SEC#: , 8-68111

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

Main Address
629 Market Street Suite 120, Chattanooga, TN 37402
Mailing Address
629 Market Street Suite 120, Chattanooga, TN 37402
Phone number
(423) 991-3680
Established
Tennessee since 11/20/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DECOSIMO, JOHN THOMASMANAGING MEMBER, CEO,COO,CCO,CFO5327873
ROUGH, ROBERT MACKINTOSHPRINCIPAL2466229
SILVERMAN, STEVEN DEREKPRINCIPAL5784702

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

DCF, LLC

CRD#: 149102Plano, TX 75093

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