Robert K. Lindell
Professional summary
Robert Kenneth Lindell was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial advisor and started their career in finance in 1994. Prior to being barred, Robert had worked at 8 firms, which includes RICHFIELD ORION INTERNATIONAL INC., REVERE SECURITIES LLC, JESUP & LAMONT ADVISORS, JESUP & LAMONT SECURITIES CORP, INTERVEST INTERNATIONAL INC., INTERVEST INTERNATIONAL EQUITIES CORPORATION, EDWARD JONES, HACKETT & COMPANY INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2013 - March 13, 2017
RICHFIELD ORION INTERNATIONAL, INC.
July 8, 2010 - May 29, 2013
REVERE SECURITIES LLC
May 20, 2010 - July 15, 2010
JESUP & LAMONT ADVISORS
August 31, 2009 - July 15, 2010
JESUP & LAMONT SECURITIES CORP
August 24, 2009 - July 15, 2010
JESUP & LAMONT SECURITIES CORP
April 22, 2004 - August 10, 2009
INTERVEST INTERNATIONAL, INC.
January 15, 2002 - August 10, 2009
INTERVEST INTERNATIONAL EQUITIES CORPORATION
January 8, 1997 - October 8, 2001
EDWARD JONES
November 3, 1994 - December 24, 1996
HACKETT & COMPANY, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RICHFIELD ORION INTERNATIONAL, INC.
CRD#: 24433 / SEC#: , 8-41166
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RICHFIELD ORION INTERNATIONAL, LLC | PARENT COMPANY | |
| STUART, JAMES BRETT | CEO,CFO,DIRECTOR, CCO | 3022149 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
