RD
Robert B. Dunphy
HOMESTEAD FINANCIAL SERVICES
Manhasset, NY
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CRD#: 2751015
RD
Professional summary
Robert Brian Dunphy, CIMA®, CPWA®, who also goes by Rob Brian Dunphy, is a registered financial professional currently at HOMESTEAD FINANCIAL SERVICES CORP. located in Manhasset, New York.
Robert is registered as a RR (Registered Representative) and started their career in finance in 2000. Robert has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rob Brian Dunphy
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 Brian Dunphy'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®
Experience
Current
October 24, 2024 - Present
HOMESTEAD FINANCIAL SERVICES CORP.
BD
CRD#: 26643
Manhasset, NY
Past
May 25, 2019 - November 1, 2023
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
NEW YORK, NY
Past
November 12, 2008 - May 25, 2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
BD
CRD#: 7834
NEW YORK, NY
Past
July 15, 2005 - October 14, 2008
EQUITABLE DISTRIBUTORS, LLC
BD
CRD#: 25900
CHARLOTTE, NC
Past
May 28, 2004 - July 8, 2005
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
October 1, 2000 - June 9, 2003
BROWN BROTHERS HARRIMAN & CO.
BD
CRD#: 104487
NEW YORK, NY
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(10/24/2024)
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Alaska(10/24/2024)
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Arizona(10/24/2024)
RR
Arkansas(10/24/2024)
RR
California(10/24/2024)
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Colorado(10/24/2024)
RR
Connecticut(10/24/2024)
RR
Delaware(10/24/2024)
RR
District of Columbia(10/24/2024)
RR
Florida(10/24/2024)
RR
Georgia(10/24/2024)
RR
Hawaii(10/24/2024)
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Idaho(10/24/2024)
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Illinois(10/24/2024)
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Indiana(10/24/2024)
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Iowa(10/24/2024)
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Kansas(10/24/2024)
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Kentucky(10/24/2024)
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Louisiana(10/24/2024)
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Maine(10/24/2024)
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Maryland(10/24/2024)
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Massachusetts(10/24/2024)
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Michigan(10/24/2024)
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Minnesota(10/24/2024)
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Mississippi(10/24/2024)
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Missouri(10/24/2024)
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Montana(10/24/2024)
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Nebraska(10/24/2024)
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Nevada(10/24/2024)
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New Hampshire(10/24/2024)
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New Jersey(10/24/2024)
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New Mexico(10/24/2024)
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New York(10/24/2024)
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North Carolina(10/24/2024)
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North Dakota(10/24/2024)
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Ohio(10/24/2024)
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Oklahoma(10/24/2024)
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Oregon(10/24/2024)
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Pennsylvania(10/24/2024)
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Puerto Rico(10/24/2024)
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Rhode Island(10/24/2024)
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South Carolina(10/24/2024)
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South Dakota(10/24/2024)
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Tennessee(10/24/2024)
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Texas(10/24/2024)
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Utah(10/24/2024)
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Vermont(10/24/2024)
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Virgin Islands(10/24/2024)
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Virginia(10/24/2024)
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Washington(10/24/2024)
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West Virginia(10/24/2024)
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Wisconsin(10/24/2024)
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Wyoming(10/24/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HF
HOMESTEAD FINANCIAL SERVICES CORP.
HOMESTEAD FINANCIAL SERVICES CORP. | RE INVESTMENT CORPORATION
CRD#: 26643 / SEC#: , 8-42682
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
4301 Wilson Boulevard, Arlington, VA 22203
Mailing Address
4301 Wilson Boulevard, Arlington, VA 22203
Phone number
(703) 907-5903
Established
Virginia since 05/02/1990
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NRECA UNITED HOLDINGS, INC. | HOLDING COMPANY OF NRECA SUBSIDIARIES | |
| CIVEROLO, BETH ANNE | VICE PRESIDENT AND DIRECTOR | 2643410 |
| DI MAURO, AMY MERRILL | TREASURER, DIRECTOR, FINANCIAL AND OPERATIONS PRINCIPAL, CHIEF AND PRINCIPAL FINANCIAL OFFICER, AND PRINCIPAL OPERATIONS OFFICER | 4731228 |
| OLLIVIERRE, MONICA LYNN | SECRETARY | 4036059 |
| SIEVERLING, DANIELLE CHERIE | CHIEF COMPLIANCE OFFICER | 4918493 |
| WEBSTER, JENNIFER LAUREL | PRESIDENT AND DIRECTOR | 1438190 |
Disclosures
| Regulatory Event | 1 |
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.
