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RL

Robert C. Lyster

Some features on this profile are disabled
CRD#: 315477
RL

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 Carter Lyster was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1971. Robert had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 41, PC, Series 000, Series 1 and Series 14 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 1, 2020 - December 24, 2025

INTE SECURITIES LLC

BD
CRD#: 47107
BOCA RATON, FL
Past

August 13, 1992 - April 5, 2019

LYSTER WATSON SECURITIES, INC.

BD
CRD#: 30210
NEW YORK, NY
Past

April 8, 1992 - March 5, 2004

LYSTER WATSON & COMPANY

RIA
CRD#: 106066
NEW YORK, NY
Past

December 18, 1979 - August 6, 1990

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

November 22, 1977 - January 7, 1980

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

September 17, 1971 - November 22, 1977

FAULKNER, DAWKINS & SULLIVAN INC.

BD
CRD#: 1790
Past

May 5, 1971 - September 21, 1971

H.C.WAINWRIGHT & CO., LLC

BD
CRD#: 375

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
IAR
Series 65
Date: 4/15/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/29/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 41
Date: 9/15/1984
NYSE Allied Member Examination
General Industry/Product Exam
RR
PC
Date: 5/25/1977
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 000
Date: 4/29/1971
General Securities Principal Examination
General Industry/Product Exam
RR
Series 1
Date: 4/29/1971
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination

Current Firm

IS
INTE SECURITIES LLC
EQUINOX SECURITIES, LLC | TRUMP SECURITIES, LLC | INTE SECURITIES LLC

CRD#: 47107 / SEC#: , 8-51667

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

Main Address
7000 W Palmetto Park Road Suite 503, Boca Raton, FL 33433
Mailing Address
7000 W Palmetto Park Road Suite 503, Boca Raton, FL 33433
Phone number
(212) 897-1694
Established
Florida since 08/14/2018
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SPINDEL, ALANMEMBER6141844
SPINDEL, HOWARDMEMBER708042
SPINDEL, JAYMEMBER1839344
STUPAY, MICHAEL ELLIOTMEMBER2287906
STUPAY, SHELLEYMEMBER5570644
OBSBAUM, FREDRIC MICHAELCCO1160811

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

INTE SECURITIES LLC

CRD#: 47107

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