RG
Robert J. Garofolo
SEAPORT GLOBAL SECURITIES LLC
Chicago, IL 60603
Some features on this profile are disabled
CRD#: 2530531
RG
Professional summary
Robert John Garofolo, who also goes by Robert Garofolo, is a registered financial professional currently at SEAPORT GLOBAL SECURITIES LLC located in Chicago, Illinois.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1994. Robert has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Robert Garofolo
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.
CRS (Client Relationship Summary) - BD
Click below to view Robert John Garofolo'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®
NoneExperience
Current
February 8, 2024 - Present
SEAPORT GLOBAL SECURITIES LLC
Office #1: 190 South Lasalle Suite 570, Chicago, IL 60603BD
CRD#: 116270
Chicago, IL
Past
August 9, 2012 - July 21, 2023
BMO CAPITAL MARKETS CORP.
BD
CRD#: 16686
CHICAGO, IL
Past
December 4, 2009 - August 13, 2012
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
CHICAGO, IL
Past
April 2, 2007 - November 16, 2009
CANTOR FITZGERALD & CO.
BD
CRD#: 134
CHICAGO, IL
Past
August 23, 1994 - April 5, 2007
LEHMAN BROTHERS INC.
BD
CRD#: 7506
CHICAGO, IL
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
Alabama(2/8/2024)
RR
Alaska(2/8/2024)
RR
Arizona(2/8/2024)
RR
Arkansas(2/8/2024)
RR
California(2/8/2024)
RR
Colorado(2/8/2024)
RR
Connecticut(2/8/2024)
RR
Delaware(2/8/2024)
RR
District of Columbia(2/8/2024)
RR
Florida(2/8/2024)
RR
Georgia(2/8/2024)
RR
Hawaii(2/8/2024)
RR
Idaho(2/8/2024)
RR
Illinois(2/8/2024)
RR
Indiana(2/8/2024)
RR
Iowa(2/8/2024)
RR
Kansas(2/8/2024)
RR
Kentucky(2/8/2024)
RR
Louisiana(2/8/2024)
RR
Maine(2/8/2024)
RR
Maryland(2/8/2024)
RR
Massachusetts(2/8/2024)
RR
Michigan(2/8/2024)
RR
Minnesota(2/8/2024)
RR
Mississippi(2/8/2024)
RR
Missouri(2/8/2024)
RR
Montana(2/8/2024)
RR
Nebraska(2/8/2024)
RR
Nevada(2/8/2024)
RR
New Hampshire(2/8/2024)
RR
New Jersey(2/8/2024)
RR
New Mexico(2/8/2024)
RR
New York(2/8/2024)
RR
North Carolina(2/8/2024)
RR
North Dakota(2/8/2024)
RR
Ohio(2/13/2024)
RR
Oklahoma(2/8/2024)
RR
Oregon(2/8/2024)
RR
Pennsylvania(2/8/2024)
RR
Puerto Rico(2/8/2024)
RR
Rhode Island(2/8/2024)
RR
South Carolina(2/8/2024)
RR
South Dakota(2/8/2024)
RR
Tennessee(2/8/2024)
RR
Texas(2/8/2024)
RR
Utah(2/8/2024)
RR
Vermont(2/8/2024)
RR
Virginia(2/8/2024)
RR
Washington(2/8/2024)
RR
West Virginia(2/8/2024)
RR
Wisconsin(2/8/2024)
RR
Wyoming(2/8/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 9/7/2004
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SG
SEAPORT GLOBAL SECURITIES LLC
GLOBAL HUNTER SECURITIES | THE SEAPORT GROUP | SP CREDIT DIRECT LLC | SEAPORT RESEARCH PARTNERS | SEAPORT GLOBAL SECURITIES LLC | SEAPORT GLOBAL | SEA PORT GROUP SECURITIES, LLC | SEA PORT GROUP SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
360 Madison Ave 22nd Floor, New York, NY 10017
Mailing Address
360 Madison Ave 22nd Floor, New York, NY 10017
Phone number
(212) 616-7700
Established
Delaware since 05/04/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
