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RD

Robert F. Dwyer

AUGUSTAR DISTRIBUTORS
Cincinnati, OH 45242
Some features on this profile are disabled
CRD#: 3168503
RD

Professional summary

Robert Francis Dwyer II, CFP®, who also goes by Bob Dwyer, Robert F (ii) Dwyer, is a registered financial professional currently at AUGUSTAR DISTRIBUTORS, INC. located in Cincinnati, Ohio.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1999. Robert has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bob Dwyer | Robert F (ii) Dwyer

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) - BD

Click below to view Robert Francis Dwyer II's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Experience

Current

September 8, 2023 - Present

AUGUSTAR DISTRIBUTORS, INC.

Office #1: One Financial Way, Cincinnati, OH 45242
BD
CRD#: 41081
Cincinnati, OH
Past

September 22, 2009 - August 16, 2023

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
DENVER, CO
Past

February 7, 2005 - September 21, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PENNINGTON, NJ
Past

July 26, 2004 - September 21, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

September 24, 2003 - June 28, 2004

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
EL SEGUNDO, CA
Past

February 25, 1999 - July 28, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Ohio
(9/8/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/4/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/9/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/24/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/31/2000
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AD
AUGUSTAR DISTRIBUTORS, INC.
AUGUSTAR DISTRIBUTORS, INC. | OHIO NATIONAL EQUITIES, INC.

CRD#: 41081 / SEC#: , 8-49296

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

Main Address
One Financial Way, Cincinnati, OH 45242
Mailing Address
P.o. Box 237, Cincinnati, OH 45201-0371
Phone number
(513) 797-3443
Established
Ohio since 01/17/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (42 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CONSTELLATION INSURANCE, INC.PARENT COMPANY
JACK, CLIFFORD JAMESDIRECTOR1398005
SOCOL, MARC ALLANPRESIDENT & DIRECTOR2761094
VANHOY, ANDREW JOSEPHDIRECTOR & CHIEF COMPLIANCE OFFICER3012299

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

AUGUSTAR DISTRIBUTORS, INC.

CRD#: 41081Cincinnati, OH 45242

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