Robert J. Szigeti

SG SECURITIES

Princeton, NJ 08540

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CRD#: 2475621

Professional summary

Robert Joseph Szigeti JR, who also goes by Bob Szigeti, is a registered financial advisor currently at SG SECURITIES, LLC located in Princeton, New Jersey.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Robert has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bob Szigeti

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.

1. SG Planning, LLC; Investment Related; Princeton, NJ; Insurance Products Sales and Services; Insurance Agent; June 2015; Approximately 50% of time spent in this capacity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Joseph Szigeti 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®

None

Experience

Current

June 24, 2015 - Present

SG SECURITIES, LLC

Office #1: 116 Village Boulevard Suite 200, Princeton, NJ 08540

RIA

CRD#: 181524

Princeton, NJ

Past

March 28, 2012 - June 19, 2015

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

SKILLMAN, NJ

Past

March 27, 2012 - June 19, 2015

NATIONAL PLANNING CORPORATION

CRD#: 29604

SKILLMAN, NJ

Past

May 7, 2010 - June 28, 2010

ADVANCED EQUITIES, INC.

CRD#: 35545

NEW YORK, NY

Past

April 9, 2010 - June 28, 2010

ADVANCED EQUITIES, INC.

RIA

CRD#: 35545

NEW YORK, NY

Past

December 12, 2007 - October 13, 2008

FISHER INVESTMENTS

RIA

CRD#: 107342

SKILLMAN, NJ

Past

December 10, 2004 - November 14, 2007

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

PRINCETON, NJ

Past

December 10, 2004 - November 14, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

PRINCETON, NJ

Past

October 18, 2002 - December 16, 2004

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

NEW BRUNSWICK, NJ

Past

April 20, 2000 - December 16, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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.

Highlighted states indicate IAR registrations

IAR

New Jersey
(6/24/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/14/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/19/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/19/2000

General Securities Representative Examination

Current Firm

SG SECURITIES, LLC

SG SECURITIES, LLC | SG WEALTH MANAGEMENT, LLC | SG WEALTH MANAGEMENT

CRD#: 181524 / SEC#:

New Jersey

Registered Investment Advisory firm - (6/24/2015 Approved)

New York

Registered Investment Advisory firm - (12/31/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

116 Village Boulevard Suite 200, Princeton, NJ 08540

Mailing Address

Phone number

(609) 309-5533

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	86
AUM (Assets Under Management)	$ 16,250,000

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.

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Advisor Monitoring

Firm Stability Insights

Robert J. Szigeti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Joseph Szigeti JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

ADVANCED EQUITIES, INC.

ADVANCED EQUITIES, INC.

FISHER INVESTMENTS

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/14/2010

SIE

Date: 6/19/2015

Series 7

Date: 4/19/2000

Current Firm

SG SECURITIES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SG SECURITIES, LLC

TRUST BUT VERIFY

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