Robert B. Yunger
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Bernhard Yunger III, who also goes by Robert Bernhard Yunger III, Robert Yunger, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1996. Robert had worked at 8 firms and has passed the Series 66, Series 63, Series 52TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2021 - December 7, 2023
PERSHING LLC
June 9, 2021 - December 7, 2023
PERSHING ADVISOR SOLUTIONS LLC
August 20, 2009 - December 10, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
August 20, 2009 - January 11, 2021
TD AMERITRADE, INC.
June 27, 2006 - August 14, 2009
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 27, 2006 - August 17, 2009
TD AMERITRADE, INC.
January 27, 2006 - January 11, 2021
TD AMERITRADE, INC.
September 1, 2005 - January 31, 2006
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 20, 2005 - January 31, 2006
TD AMERITRADE CLEARING, INC.
October 4, 2001 - April 19, 2002
CONSECO EQUITY SALES, INC.
May 4, 1999 - April 27, 2001
GUGGENHEIM DISTRIBUTORS, LLC
August 26, 1996 - April 13, 1999
MOORS & CABOT, 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
Series 52TO
Date: 8/1/2023
Municipal Securities Representative ExaminationCurrent Firm
PERSHING LLC
CRD#: 7560 / SEC#: , 8-17574
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PERSHING GROUP LLC | HOLDING COMPANY | |
| BADGER, ERIC CHRISTOPHER | BOARD MEMBER | 8040351 |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | BOARD MEMBER, PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| KEARNEY, JAMES FRANCIS III | BOARD MEMBER | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER, CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 5177277 |
| MAJIYAGBE, ELIZABETH OLAIDE | BOARD MEMBER | 7013772 |
| O'LAUGHLEN, VICTOR FRANCIS JR | BOARD MEMBER | 8041737 |
| SIMMONDS, AINSLIE JANE | BOARD MEMBER | 6047968 |
| VITALE, JASON DOMINICK | BOARD MEMBER | 8038160 |
| YOUNG, LYNN MARIE | CHIEF COMPLIANCE OFFICER | 1982726 |
Disclosures
| Regulatory Event | 74 |
| Arbitration | 32 |
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.
