Robert J. Herbert
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 John Herbert was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1996. Robert had worked at 9 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2008 - December 13, 2012
NATIONAL SECURITIES CORPORATION
May 20, 2008 - December 9, 2008
ITRADEDIRECT.COM CORP
April 4, 2006 - April 29, 2008
NEWBRIDGE SECURITIES CORPORATION
August 29, 2002 - April 7, 2006
GUNNALLEN FINANCIAL, INC
April 25, 2002 - September 27, 2002
CONTINENTAL BROKER-DEALER CORP.
May 29, 2001 - May 16, 2002
SEABOARD SECURITIES, INC.
September 29, 1999 - June 25, 2001
GLOBAL CAPITAL SECURITIES CORPORATION
November 21, 1997 - October 5, 1999
SEABOARD SECURITIES, INC.
October 1, 1997 - November 19, 1997
FAIRCHILD FINANCIAL GROUP, INC.
May 6, 1997 - August 26, 1997
FAIRCHILD FINANCIAL GROUP, INC.
October 18, 1996 - April 29, 1997
GLOBAL CAPITAL MARKETS, LLC
July 29, 1996 - December 12, 1996
CONTINENTAL BROKER-DEALER CORP.
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
Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
