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Robert B. Perthuis

Some features on this profile are disabled
CRD#: 3166875
RP

Professional summary

Robert Bernard Perthuis was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Robert is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Robert had worked at 4 firms, which includes SMG SECURITIES INC., SPENCER CLARKE LLC, PROTRADER SECURITIES L.P., TERRA NOVA FINANCIAL LLC.

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

February 7, 2008 - August 8, 2012

SMG SECURITIES, INC.

BD
CRD#: 17406
NEW YORK, NY
Past

January 28, 2003 - June 27, 2006

SPENCER CLARKE LLC

BD
CRD#: 41316
NORTH MIAMI, FL
Past

June 4, 2001 - March 28, 2002

PROTRADER SECURITIES L.P.

BD
CRD#: 35233
AUSTIN, TX
Past

January 11, 1999 - April 17, 2001

TERRA NOVA FINANCIAL, LLC

BD
CRD#: 37761
NEW YORK, NY

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
RR
Series 63
Date: 1/25/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 11/17/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 1/9/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/24/1999
General Securities Principal Examination

Current Firm

SS
SMG SECURITIES, INC.
SCOTT-MACON SECURITIES, INC. | SMG SECURITIES, INC.

CRD#: 17406 / SEC#: , 8-35184

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

Main Address
333 East 66th Street Suite 2-o, New York, NY 10065
Mailing Address
333 East 66th Street Suite 2-o, New York, NY 10065
Phone number
(212) 288-1200
Established
Delaware since 11/08/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (14 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SMG ASSOCIATES, LLCOWNER
TEPPER, JEFFREY MARKPRESIDENT & CEO AND CHIEF COMPLIANCE OFFICER1215438

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

SMG SECURITIES, INC.

CRD#: 17406

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