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Robin L. Weiss

BROCK SECURITIES LLC
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 2754881
RW

Professional summary

Robin Lisa Weiss, who also goes by Robin L Goldner, Robin Weiss, Robin Lisa Weissgoldner, is a registered financial professional currently at BROCK SECURITIES LLC located in New York, New York.

Robin is registered as a RR (Registered Representative) and started their career in finance in 1997. Robin has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robin L Goldner | Robin Weiss | Robin Lisa Weissgoldner

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 Robin Lisa Weiss'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®
None

Experience

Current

April 22, 2019 - Present

BROCK SECURITIES LLC

Office #1: 505 Park Ave 14th Floor, New York, NY 10022
BD
CRD#: 122156
NEW YORK, NY
Past

October 28, 2011 - September 5, 2017

LOYAL3 SECURITIES INC.

BD
CRD#: 6380
SAN FRANCISCO, CA
Past

August 18, 2010 - June 3, 2011

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

May 14, 1997 - April 20, 2001

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/27/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/5/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/17/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/6/2012
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BROCK SECURITIES LLC
BROCK FINANCIAL SERVICES LLC | BROCK SECURITIES LLC

CRD#: 122156 / SEC#: , 8-65467

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

Main Address
505 Park Ave 14th Floor, New York, NY 10022
Mailing Address
505 Park Ave 14th Floor, New York, NY 10022
Phone number
(212) 209-3000
Established
Delaware since 07/12/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BROCK CAPITAL GROUP LLCMANAGING MEMBER
BROCK, CHARLES LAWRENCECHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER5758862
HOPKINS, THOMAS JOHNFINOP1835087

Disclosures

Regulatory Event1

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

BROCK SECURITIES LLC

CRD#: 122156New York, NY 10022

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