Robert D. Oros
HIGHTOWER SECURITIES | Chief Executive Officer
Chicago, IL 60606-3414
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CRD#: 2708269
Professional summary
Robert David Oros is a registered financial professional currently at HIGHTOWER SECURITIES, LLC located in Chicago, Illinois.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1998. Robert has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Biography
Bob Oros is the CEO of Hightower, a national wealth management firm that invests in and supports independent-minded financial advisory businesses to accelerate their growth. Mr. Oros joined Hightower in January 2019 to shift the firm to an acquisition-based business model, build out the firm’s advisor-focused infrastructure and scale the company. He has more than 20 years of leadership, strategic and operational experience, with a strong track record of successfully recruiting, retaining, and supporting advisors at some of the top financial firms in the country.
Prior to joining Hightower, Mr. Oros was CEO at HD Vest, where he helped transform the firm’s platform, services and capabilities, increased quarterly productivity per advisor and boosted revenue. Prior to HD Vest, Mr. Oros was Executive Vice President, Head of the RIA Segment at Fidelity Clearing and Custody, where he was responsible for the growth and retention of the RIA and record-keeper segments. Earlier in his career, Mr. Oros held various leadership roles at firms such as Trust Company of America, LPL Financial and Charles Schwab.
Mr. Oros is a board member and the Chair of Corporate Development at the Invest in Others Charitable Foundation, and also serves on the Boards of the Financial Services Institute and the Foundation for Financial Planning. He holds a Master’s in Finance from Walsh College and a Bachelor’s degree in Business Administration from Central Michigan University.
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.
CRS (Client Relationship Summary) - BD
Click below to view Robert David Oros'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 25, 2019 - Present
HIGHTOWER SECURITIES, LLC
Office #1: 200 West Madison Street Suite 2500, Chicago, IL 60606-3414BD
CRD#: 116681
Chicago, IL
Past
February 28, 2017 - January 3, 2019
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Irving, TX
Past
February 13, 2013 - February 8, 2017
NATIONAL FINANCIAL SERVICES LLC
BD
CRD#: 13041
BOSTON, MA
Past
March 7, 2012 - February 9, 2017
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
BOSTON, MA
Past
June 7, 2011 - January 20, 2012
TCADVISORS NETWORK INC.
BD
CRD#: 35794
CENTENNIAL, CO
Past
March 9, 2009 - November 11, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHARLOTTE, NC
Past
December 14, 2007 - November 11, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
BOSTON, MA
Past
May 28, 1998 - October 17, 2007
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
SOUTHFIELD, MI
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
Illinois(1/25/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HS
HIGHTOWER SECURITIES, LLC
CCM EQUITIES, LLC | UNITED FIDUCIARY SECURITIES, LLC | HIGHTOWER SECURITIES, LLC
CRD#: 116681 / SEC#: , 8-53560
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Mailing Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Phone number
(312) 962-3800
Established
Illinois since 06/28/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGHTOWER HOLDING, LLC | PARENT COMPANY | |
| BESSO, DOUGLAS JOSEPH | CTO | 1530829 |
| COVIELLO, BARRY ANTHONY | EXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION | 1813688 |
| GRAY, KENDRA | MUNICIPAL PRINCIPAL | 4388082 |
| GRAY, KENDRA | CHIEF COMPLIANCE OFFICER | 4388082 |
| KARL, MATTHEW JAMES | PRINCIPAL FINANCIAL OFFICER (PFO) & FINOP | 5361093 |
| SMITH, SCOTT DAVID | CHIEF EXECUTIVE OFFICER | 2523535 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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Company Information
HIGHTOWER SECURITIES, LLC
Chief Executive OfficerCRD#: 116681Chicago, IL 60606-3414TRUST BUT VERIFY
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