RL
Robert S. Lerman
FINANCIAL NORTHEASTERN SECURITIES
Fairfield, NJ 07004
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CRD#: 2554440
RL
Professional summary
Robert Scott Lerman is a registered financial advisor currently at FINANCIAL NORTHEASTERN SECURITIES, INC. located in Fairfield, New Jersey.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Robert has worked at 1 firm and has passed the Series 65, Series 63, Series 72, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Scott Lerman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Scott Lerman'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
January 31, 2007 - Present
FINANCIAL NORTHEASTERN SECURITIES, INC.
Office #1: 100 Passaic Avenue, Fairfield, NJ 07004Office #2: 100 Passaic Ave, Fairfield, NJ 07004RIA
BD
CRD#: 17007
Fairfield, NJ
Current
December 14, 1994 - Present
FINANCIAL NORTHEASTERN SECURITIES, INC.
Office #1: 100 Passaic Avenue, Fairfield, NJ 07004RIA
BD
CRD#: 17007
Fairfield, NJ
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.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(3/26/2014)
RR
Arizona(11/26/2001)
RR
California(7/16/1996)
RR
Colorado(2/23/1998)
RR
Delaware(1/3/2006)
RR
Florida(2/24/1998)
RR
Hawaii(8/17/2000)
RR
Idaho(1/6/2009)
RR
Illinois(1/20/1998)
RR
Iowa(7/16/1996)
RR
Louisiana(5/8/1997)
RR
Maine(8/18/2000)
RR
Massachusetts(1/20/1998)
RR
Michigan(1/21/1998)
RR
Montana(8/17/2000)
RR
Nebraska(3/19/1999)
RR
New Hampshire(7/16/1996)
RR
New Jersey(12/5/1995)
IAR
New Jersey(1/31/2007)
RR
New York(7/16/1996)
RR
Ohio(7/17/1996)
RR
Pennsylvania(7/16/1996)
RR
Puerto Rico(11/23/2016)
RR
South Dakota(8/17/2000)
RR
Texas(7/16/1996)
RR
Vermont(7/16/1996)
RR
Virginia(11/19/2002)
RR
West Virginia(7/16/1996)
RR
Wisconsin(7/16/1996)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FN
FINANCIAL NORTHEASTERN SECURITIES, INC.
FINANCIAL NORTHEASTERN SECURITIES, INC. | FNC INVESTMENTS CORPORATION
CRD#: 17007 / SEC#: , 8-34883
California
Registered Investment Advisory firm - SEC (8/11/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (2/28/2002 Approved)New Jersey
Registered Investment Advisory firm - SEC (6/23/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
100 Passaic Avenue One Greenbrook Corporate Center, Fairfield, NJ 07004
Mailing Address
100 Passaic Avenue 100, Fairfield, NJ 07004
Phone number
(973) 882-9337
Established
New Jersey since 02/14/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
42
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
