Robert B. Theil
Professional summary
Robert Brian Theil is a registered financial professional currently at OSAIC WEALTH, INC. located in Scottsdale, Arizona and LADENBURG THALMANN & CO. INC. located in New York, New York.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1998. Robert has worked at 13 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Brian Theil's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 15, 2021 - Present
OSAIC WEALTH, INC.
Office #1: 18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255June 2, 2022 - Present
LADENBURG THALMANN & CO. INC.
Office #1: 640 5th Avenue 4th Floor, New York, NY 10019November 15, 2021 - September 1, 2023
OSAIC SERVICES, INC.
November 15, 2021 - November 3, 2023
FSC SECURITIES CORPORATION
November 15, 2021 - January 19, 2024
WOODBURY FINANCIAL SERVICES, INC.
November 15, 2021 - June 14, 2024
SECURITIES AMERICA, INC.
November 15, 2021 - August 23, 2024
TRIAD ADVISORS LLC
June 15, 2021 - November 3, 2021
WILMINGTON CAPITAL SECURITIES, LLC
July 14, 2016 - May 20, 2021
LADENBURG THALMANN & CO. INC.
March 3, 2016 - June 10, 2016
D.A. DAVIDSON & CO.
January 11, 2010 - March 1, 2016
WEDBUSH SECURITIES INC.
April 21, 2008 - July 17, 2009
WADDELL & REED
January 30, 2007 - June 13, 2007
THE INVESTMENT CENTER, INC.
April 26, 2000 - February 2, 2006
TD AMERITRADE, INC.
January 21, 1998 - July 22, 1999
TD AMERITRADE, 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
(11/15/2021)
(11/16/2021)
Exams
Series 52TO
Date: 7/17/2023
Municipal Securities Representative ExaminationFINRA
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
LADENBURG THALMANN & CO. INC.
CRD#: 505 / SEC#: , 8-17230
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | OWNER | |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 14 |
Red Flags
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