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ER

Ernest C. Robinson

DAWSON JAMES SECURITIES
Boca Raton, FL 33432
Some features on this profile are disabled
CRD#: 2730058
ER

Professional summary

Ernest Charles Robinson JR, who also goes by Charles Robinson, Ernest Charles Robinson, Rob Robinson Jr, Rob Robinson, is a registered financial advisor currently at DAWSON JAMES SECURITIES, INC. located in Boca Raton, Florida.

Ernest is registered as a RR (Registered Representative) and started their career in finance in 1996. Ernest has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles Robinson | Ernest Charles Robinson | Rob Robinson Jr | Rob Robinson

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 Ernest Charles Robinson JR'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

February 7, 2008 - Present

DAWSON JAMES SECURITIES, INC.

Office #1: 101 North Federal Highway Suite 600, Boca Raton, FL 33432
BD
CRD#: 130645
Boca Raton, FL
Past

November 7, 2008 - August 13, 2015

DAWSON JAMES ASSET MANAGEMENT, INC.

RIA
CRD#: 135259
BOCA RATON, FL
Past

June 18, 2004 - February 7, 2008

CAPITAL GROWTH FINANCIAL, LLC

BD
CRD#: 41040
BOCA RATON, FL
Past

January 2, 2002 - June 18, 2004

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

October 14, 1998 - January 2, 2002

PRIME CHARTER LTD.

BD
CRD#: 25668
NEW YORK, NY
Past

May 12, 1997 - October 22, 1998

GKN SECURITIES CORP.

BD
CRD#: 19415
NEW YORK, NY
Past

February 25, 1997 - June 19, 1997

MERIT CAPITAL ASSOCIATES, INC.

BD
CRD#: 30576
WESTPORT, CT
Past

February 24, 1997 - March 13, 1997

THE HAMILTON-SHEA GROUP, INC.

BD
CRD#: 37526
POMPANO BEACH, FL
Past

October 22, 1996 - January 13, 1997

BILTMORE SECURITIES, INC.

BD
CRD#: 25023
FT. LAUDERDALE, 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
Arizona
(5/22/2009)
RR
California
(2/7/2008)
RR
Colorado
(8/17/2023)
RR
Florida
(2/7/2008)
RR
Georgia
(2/11/2021)
RR
Illinois
(3/11/2011)
RR
Indiana
(2/8/2008)
RR
Louisiana
(3/10/2017)
RR
Maryland
(2/7/2008)
RR
Massachusetts
(2/12/2008)
RR
New Jersey
(2/7/2008)
RR
New York
(2/7/2008)
RR
North Carolina
(2/7/2008)
RR
North Dakota
(9/29/2016)
RR
Ohio
(2/7/2008)
RR
Oklahoma
(2/7/2008)
RR
South Carolina
(12/8/2010)
RR
South Dakota
(9/26/2018)
RR
Texas
(2/15/2008)
RR
Virginia
(2/7/2008)
RR
Washington
(2/7/2008)
RR
Wisconsin
(2/7/2008)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/3/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/28/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/1996
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

DJ
DAWSON JAMES SECURITIES, INC.
DAWSON JAMES SECURITIES, INC.

CRD#: 130645 / SEC#: , 8-66367

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
101 North Federal Highway Suite 600, Boca Raton, FL 33432
Mailing Address
101 North Federal Highway Suite 600, Boca Raton, FL 33432
Phone number
(561) 391-5555
Established
Florida since 07/30/2002
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARK FINANCIAL SERVICES, INC.OWNER
DORFMAN, JENNIFERCHIEF COMPLIANCE OFFICER/AML COMPLIANCE OFFICER3009328
KEYSER, ROBERT DAWSON JR.CEO1291503
STICE, HAROLD EUGENECHIEF FINANCIAL OFFICER/FINOP1349210

Disclosures

Regulatory Event12
Civil Event1
Arbitration3

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

DAWSON JAMES SECURITIES, INC.

CRD#: 130645Boca Raton, FL 33432

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