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Robert J. Trask

Some features on this profile are disabled
CRD#: 2509073
RT

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 James Trask was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1994. Robert had worked at 4 firms and has passed the Series 27 exam.

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)

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

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

Past

November 30, 2010 - January 27, 2012

ARQUE CAPITAL, LTD.

BD
CRD#: 121192
SCOTTSDALE, AZ
Past

November 19, 2004 - March 26, 2009

FOX & COMPANY INVESTMENTS INC.

BD
CRD#: 18517
PHOENIX, AZ
Past

April 22, 1998 - December 10, 2002

CGS FINANCIAL INC.

BD
CRD#: 43125
SCOTTSDALE, AZ
Past

August 10, 1994 - March 25, 1997

GAINEY FINANCIAL SERVICES, INC.

BD
CRD#: 27968
SCOTTSDALE, AZ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Principal/Supervisory Exam
RR
Series 27
Date: 8/8/1994
Financial and Operations Principal Examination

Current Firm

AC
ARQUE CAPITAL, LTD.
ARQUE CAPITAL, LTD. | QUANTUM LEAP SECURITIES, LLC

CRD#: 121192 / SEC#: 801-70283, 8-65390

BD
Terminated by SEC on 08/15/2023
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Contact information

Main Address
5665 North Scottsdale Road Suite 130, Scottsdale, AZ 85250
Mailing Address
Phone number
(602) 971-9000
Established
California since 11/18/2005
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
4

FINRA licenses (1 States and Territories)

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

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
ARQUE ORION WINTER SKIES, LTD.PARENT COMPANY
KUWABARA, AUDREY MARIPRESIDENT & CEO (INTERIM)5007219
KUWABARA, AUDREY MARICHIEF RISK OFFICER/GENERAL COUNSEL/SECRETARY/CHIEF COMPLIANCE OFFICER5007219
NING, MICHAEL CHENGPRESIDENT & CEO1229733
ROACH, ROBERT GARFIELD JRFINOP2731222
SCANLON, TIMOTHY JOSEPHDIRECTOR - PRIVATE CLIENT DIVISION1968597
SULLIVAN, JAMES CHESTEROPTIONS PRINCIPAL804918

Regulatory assets under management

Total Number of Accounts9
AUM (Assets Under Management)$ 6,000,000

Disclosures

Regulatory Event5

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

ARQUE CAPITAL, LTD.

CRD#: 121192

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