Robert A. Urtz
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 Andrew Urtz III, who also goes by Rob Urtz III, Robert Andrew Urtz, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1998. Robert had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2014 - April 22, 2015
ONEIDA WEALTH MANAGEMENT, INC.
November 1, 2006 - November 28, 2014
CADARET, GRANT & CO., INC.
May 1, 2001 - November 3, 2006
MML INVESTORS SERVICES, LLC
July 7, 1998 - May 9, 2001
WS GRIFFITH SECURITIES, 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
Current Firm
ONEIDA WEALTH MANAGEMENT, INC.
CRD#: 167907 / SEC#: 801-79875, 8-69310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMUNITY BANK, N.A. | NATIONAL BANK | |
| BADER, THOMAS JOSEPH | PRESIDENT, DIRECTOR | 1282398 |
| CATANZARITA, JOHN FRANCES | DIRECTOR | 6197798 |
| DURKEE, DERESA FISCHER | CFO | 6198032 |
| HASKELL, JOHN EDWARD | DIRECTOR | 6197932 |
| JAYNES, CHASITY MAUREEN | DIRECTOR, COO (02/2013), CCO (06/2015) & GSP | 2638624 |
| KALLET, MICHAEL ROBERT | CHAIRMAN | 6198029 |
| MORISSEAU, PIERRE JOSEPH | DIRECTOR | 6197931 |
| MYERS, RICHARD BONKE | DIRECTOR | 6197793 |
| STICKELS, ERIC EUGENE | VICE CHAIRMAN | 6197806 |
| ZIELASKO, BRETT MICHAEL | DIRECTOR | 6306613 |
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.
