Karin Beth Chadwick
Professional Summary
Karin Beth Chadwick is a registered financial advisor currently at ROBOTTI SECURITIES, LLC located in New York, New York. Karin is registered as a RR (Registered Representative) and started their career in finance in 1997. Karin has worked at 1 firm and has passed the Series 65, Series 63, Series 99TO, Series 57TO, SIE, Series 55 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
29 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
ROBOTTI & COMPANY, INCORPORATED | ROBOTTI SECURITIES, LLC | ROBOTTI & ENG, INCORPORATED | ROBOTTI & ENG, INC. | ROBOTTI & COMPANY, LLC
Contact Information
Main Address
125 Park Avenue, Suite 1607, New York, NY 10017Mailing Address
125 Park Avenue, Suite 1607, New York, NY 10017Phone Number
(212) 986-4800Established
New York since 03/07/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (32 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBOTTI & COMPANY, INCORPORATED | STOCKHOLDER 100% OWNER OF APPLICANT | — |
| KELLEHER, DENNIS MICHAEL | CHIEF COMPLIANCE OFFICER | 2107342 |
| MCQUEENEY, DAVID VINCENT | SROP, ROP | 2440806 |
| MEVORAH, ERWIN I | CFO, FIN/OP & SECRETARY | 1944735 |
| ROBOTTI, ROBERT EDWARD | PRESIDENT, CEO, GSP, TREASURER | 732905 |
| ROBOTTI, SUZANNE BENSON | DIRECTOR | 4616454 |
| SEKLIR, NANCY ELIZABETH | DIRECTOR | 1756843 |
| WASIAK, KENNETH RONALD | DIRECTOR | 1485703 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(6/28/2005)
(2/3/1998)
(10/6/2009)
(4/8/2003)
(2/18/2026)
(6/28/2005)
(5/10/2013)
(6/28/2005)
(6/1/1999)
(6/7/1999)
(9/15/1997)
(9/19/2011)
(2/25/2022)
(1/5/2017)
(10/5/2022)
(9/15/1997)
(3/27/2012)
(10/21/2014)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Mar 2000SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Karin Beth Chadwick's CRS (Customer Relationship Summary).
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