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RL

Robert S. Lerman

FINANCIAL NORTHEASTERN SECURITIES
FAIRFIELD, NJ 07004
Some features on this profile are disabled
CRD#: 2554440
RL
Robert Scott LermanFINANCIAL NORTHEASTERN SECURITIES

Professional summary

Robert Scott Lerman is a registered financial professional currently at FINANCIAL NORTHEASTERN SECURITIES, LLC located in Fairfield, New Jersey.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2007. Robert has worked at 1 firm and has passed the Series 65, Series 63, Series 72, SIE and Series 7 exams.

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) - BD

Click below to view Robert Scott Lerman's CRS (Customer Relationship Summary).
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®
None

Experience

Current

December 14, 1994 - Present

FINANCIAL NORTHEASTERN SECURITIES, LLC

Office #1: 100 Passaic Avenue, Fairfield, NJ 07004
BD
CRD#: 17007
FAIRFIELD, NJ
Past

January 31, 2007 - September 10, 2026

FINANCIAL NORTHEASTERN SECURITIES, LLC

RIA
CRD#: 17007
Delray Beach, FL

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
(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
Kansas
(1/6/2026)
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)
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
Virginia
(11/19/2002)
RR
West Virginia
(7/16/1996)
RR
Wisconsin
(7/16/1996)

Exams

What does exam status mean?
State Security Law Exam
PR
Series 65
Status Unavailable
Passed: 8/30/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Status Unavailable
Passed: 3/3/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 72
Status Unavailable
Passed: 1/2/2023
Government Securities Representative Examination
General Industry/Product Exam
RR
SIE
Status Unavailable
Passed: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Status Unavailable
Passed: 12/13/1994
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FN
FINANCIAL NORTHEASTERN SECURITIES, LLC
FINANCIAL NORTHEASTERN SECURITIES, INC. | FNC INVESTMENTS CORPORATION | FINANCIAL NORTHEASTERN SECURITIES, LLC

CRD#: 17007 / SEC#: , 8-34883

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 02/25/2026
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
42

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
INCAPITAL HOLDINGS LLCMEMBER: VOTING
KISS, SANDRALIN JOSEPHINEEXEC VP, COO, FINOP, CCO1093671
MILLAHN, FLORENCE ADIRECTOR OF OPERATIONS, ROSFP2786661
MILSTEIN, BARRY MITCHELLEVP1632450
MITCHELL, SCOTT ALEXANDERCEO4717597
ZAGE, JEFFREY PMANAGING DIRECTOR1286688
ZAGE, STEVEN MARTINMANAGING DIRECTOR1314965

Disclosures

Regulatory Event4

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

FINANCIAL NORTHEASTERN SECURITIES, LLC

CRD#: 17007Fairfield, NJ 07004

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