RT
Robert P. Treacy
NATWEST MARKETS SECURITIES
Stamford, CT 06901
Some features on this profile are disabled
CRD#: 3251880
RT
Professional summary
Robert Paul Treacy, who also goes by Robert Treacy, is a registered financial professional currently at NATWEST MARKETS SECURITIES INC. located in Stamford, Connecticut.
Robert is registered as a RR (Registered Representative) and started their career in finance in 2000. Robert has worked at 9 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Robert Treacy
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.
CRS (Client Relationship Summary) - BD
Click below to view Robert Paul Treacy'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®
NoneExperience
Current
May 21, 2019 - Present
NATWEST MARKETS SECURITIES INC.
Office #1: 600 Washington Boulevard, Stamford, CT 06901BD
CRD#: 11707
Stamford, CT
Past
June 8, 2015 - April 26, 2019
SANTANDER INVESTMENT SECURITIES INC.
BD
CRD#: 37216
NEW YORK, NY
Past
September 25, 2012 - June 5, 2015
SUSQUEHANNA FINANCIAL GROUP, LLLP
BD
CRD#: 35865
NEW YORK, NY
Past
October 3, 2011 - September 14, 2012
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
NEW YORK, NY
Past
June 2, 2011 - September 22, 2011
CITADEL SECURITIES LLC
BD
CRD#: 116797
NEW YORK, NY
Past
June 11, 2009 - May 19, 2011
BNY MELLON CAPITAL MARKETS, LLC
BD
CRD#: 17454
NEW YORK, NY
Past
October 24, 2007 - March 9, 2009
DEPFA FIRST ALBANY SECURITIES, LLC
BD
CRD#: 144232
NEW YORK, NY
Past
June 18, 2003 - March 9, 2005
CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC
BD
CRD#: 15654
NEW YORK, NY
Past
November 22, 2000 - July 8, 2002
LORD ABBETT DISTRIBUTOR LLC
BD
CRD#: 530
JERSEY CITY, NJ
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
Alabama(5/29/2019)
RR
Alaska(5/29/2019)
RR
Arizona(5/31/2019)
RR
Arkansas(5/30/2019)
RR
California(5/22/2019)
RR
Colorado(5/29/2019)
RR
Connecticut(5/22/2019)
RR
Delaware(6/5/2019)
RR
District of Columbia(5/24/2019)
RR
Florida(5/22/2019)
RR
Georgia(6/3/2019)
RR
Idaho(5/21/2019)
RR
Illinois(6/19/2019)
RR
Indiana(5/29/2019)
RR
Iowa(5/23/2019)
RR
Kansas(5/29/2019)
RR
Kentucky(5/30/2019)
RR
Louisiana(5/30/2019)
RR
Maryland(5/31/2019)
RR
Massachusetts(5/23/2019)
RR
Michigan(5/23/2019)
RR
Minnesota(7/11/2019)
RR
Mississippi(5/30/2019)
RR
Missouri(5/23/2019)
RR
Montana(5/22/2019)
RR
Nebraska(8/8/2019)
RR
Nevada(5/29/2019)
RR
New Hampshire(5/28/2019)
RR
New Jersey(6/10/2019)
RR
New Mexico(5/31/2019)
RR
New York(5/29/2019)
RR
North Carolina(5/21/2019)
RR
North Dakota(6/4/2019)
RR
Ohio(5/22/2019)
RR
Oklahoma(5/29/2019)
RR
Oregon(6/4/2019)
RR
Pennsylvania(5/22/2019)
RR
Rhode Island(5/24/2019)
RR
South Carolina(5/30/2019)
RR
South Dakota(6/3/2019)
RR
Tennessee(5/22/2019)
RR
Texas(5/21/2019)
RR
Utah(5/22/2019)
RR
Vermont(5/29/2019)
RR
Virginia(5/29/2019)
RR
Washington(5/29/2019)
RR
West Virginia(6/3/2019)
RR
Wisconsin(5/23/2019)
RR
Wyoming(6/4/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NM
NATWEST MARKETS SECURITIES INC.
GREENWICH CAPITAL MARKETS INC | RBS SECURITIES INC. | RBS GREENWICH CAPITAL | NATWEST MARKETS SECURITIES INC. | NATWEST MARKETS (A MARKETING NAME FOR RBS SECURITIES INC.) | GREENWICH CAPITAL MARKETS, INC.
CRD#: 11707 / SEC#: , 8-37135
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
600 Washington Boulevard, Stamford, CT 06901
Mailing Address
600 Washington Boulevard, Stamford, CT 06901
Phone number
(203) 897-2700
Established
Delaware since 11/07/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (49 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBS HOLDINGS USA INC. | SHAREHOLDER | |
| AUSBURN, MICHAEL THOMAS | DIRECTOR / CHIEF FINACIAL OFFICER | 2523037 |
| BROWER, LISA | SECRETARY, GENERAL COUNSEL | 6177644 |
| BUCCI, MICHELLE A | CHIEF OPERATING OFFICER | 5192971 |
| DESIMONE, LISA MARIE | CHIEF COMPLIANCE OFFICER | 2691368 |
| GIRARD, MICHELLE COLLEY | PRESIDENT / CHIEF EXECUTIVE OFFICER | 2185240 |
| ROOSE, SCOTT | DIRECTOR | 2539705 |
| SPEZZANO, CASEY RYAN | DIRECTOR | 4678231 |
Disclosures
| Regulatory Event | 43 |
| Civil Event | 4 |
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.
