AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
RC

Robert Henry Chicoine Jr

CRD# 2480903·Registered 1999 - 2016
Previously Registered: Being a previously registered professional could mean that Robert 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.

Professional Summary

Robert Henry Chicoine JR, who also goes by Robert H Chicoine Jr, was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1999 - 2016. Robert had worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 55, Series 7, Series 24 and Series 4 exams.

At a Glance

—

Fiduciary Standard

—

Fee Structure

—

Account Minimum

—

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Robert H Chicoine Jr

Blog Corner

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
View profile
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Contact Information

No current employment

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Years of Experience

26 years in the financial services industry

Current & Past Employments

COWEN PRIME SERVICES LLC·CRD# 153397
BD
Greenwich, CT
April 2, 2014 - September 12, 2016
SRT SECURITIES LLC·CRD# 33725
BD
Purchase, NY
May 30, 2013 - May 15, 2014
DIRECT ACCESS PARTNERS LLC·CRD# 120950
BD
New York, NY
April 17, 2013 - May 31, 2013
CANTOR FITZGERALD & CO.·CRD# 134
BD
Purchase, NY
February 28, 2011 - April 2, 2013
PCS DUNBAR SECURITIES, LLC·CRD# 128144
BD
Purchase, NY
March 3, 2004 - February 28, 2011
PCS SECURITIES, INC.·CRD# 47588
BD
New York, NY
April 14, 2003 - January 10, 2005
FANO SECURITIES LLC·CRD# 37867
BD
New York, NY
December 22, 1999 - May 5, 2003

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Current Firm

CP
COWEN PRIME SERVICES LLC

CONCEPT ASSET MANAGEMENT | COWEN PRIME SERVICES LLC | COWEN PRIME ADVISORS | COWEN OUTSOURCED TRADING | CONCEPT LIFE AGENCY LLC | CONCEPT CAPITAL MARKETS, LLC

CRD#: 153397 / SEC#: 8-68531
BD
Terminated by SEC on 12/18/2021

Contact Information

Established

Delaware since 06/30/2009

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
COWEN PB HOLDINGS LLCDIRECT PARENT, MEMBER, OWNER—
CHARNEY, DANIEL SCEO2158255
HOLMES, JOHNCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER1281617
JORDAN, FRANCISPRINCIPAL FINANCIAL OFFICER5634167
POPPELL, RALPH EDWARDCHIEF COMPLIANCE OFFICER1683087

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 2000About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Sep 2016About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Mar 2009About the Series 3 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Jul 2000

Series 7 — General Securities Representative Examination

Passed Dec 1999About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Dec 2003About the Series 24 exam

Series 4 — Registered Options Principal Examination

Passed Dec 2000About the Series 4 exam

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#
RC
Follow Robert
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required