Robert J. Wesolowski
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 Wesolowski, who also goes by Robert John Wesolowski Jr, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1996. Robert had worked at 10 firms and has passed the Series 63, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2009 - January 7, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
November 7, 2001 - October 21, 2003
WORLDCO, L.L.C.
June 4, 2001 - November 26, 2001
ELECTRONIC TRADING GROUP, LLC
April 2, 2001 - May 25, 2001
DOMESTIC SECURITIES, INC.
December 12, 2000 - April 2, 2001
ALL-TECH DIRECT, INC.
February 19, 1999 - October 31, 2000
HD BROUS & CO., INC.
August 11, 1998 - February 24, 1999
PACIFIC CONTINENTAL SECURITIES CORPORATION
October 23, 1997 - November 11, 1997
CAMBRIDGE CAPITAL, LLC
August 1, 1997 - August 19, 1997
LADENBURG CAPITAL MANAGEMENT INC.
May 21, 1997 - May 29, 1997
A. G. EDWARDS & SONS, INC.
November 18, 1996 - June 4, 1997
LADENBURG CAPITAL MANAGEMENT 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 55
Date: 1/18/2001
Limited Representative-Equity Trader ExamCurrent Firm
FIS BROKERAGE & SECURITIES SERVICES LLC
CRD#: 104162 / SEC#: , 8-52614
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| HECKER, STEVEN MICHAEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3088510 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
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.
