Robert G. Palmeiro
Professional summary
Robert George Palmeiro 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 1971. Prior to being barred, Robert had worked at 8 firms, which includes AUERBACH POLLAK & RICHARDSON INC., BARCLAY INVESTMENTS LLC, UBS FINANCIAL SERVICES INC., SHEARSON HAYDEN STONE INC., LEHMAN BROTHERS INC., E. F. HUTTON & COMPANY INC, HAYDEN STONE INC., C B W L HAYDEN STONE INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 1999 - November 3, 1999
AUERBACH, POLLAK & RICHARDSON INC.
July 11, 1990 - April 21, 1999
BARCLAY INVESTMENTS LLC
November 26, 1986 - May 22, 1990
UBS FINANCIAL SERVICES INC.
July 12, 1977 - November 22, 1977
SHEARSON HAYDEN STONE INC.
June 7, 1977 - November 24, 1986
LEHMAN BROTHERS INC.
May 11, 1973 - July 18, 1977
E. F. HUTTON & COMPANY INC
March 16, 1973 - May 6, 1973
HAYDEN STONE INC.
July 22, 1971 - March 16, 1973
C B W L HAYDEN STONE 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
Series 000
Date: 11/6/1971
General Securities Principal ExaminationSeries 1
Date: 7/19/1971
Registered Representative ExaminationSeries 12
Date: 9/19/1981
NYSE Branch Manager ExaminationCurrent Firm
AUERBACH, POLLAK & RICHARDSON INC.
CRD#: 29824 / SEC#: , 8-44584
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AUERBACH FINANCIAL GROUP INC. | PARENT COMPANY | |
| EVISION | SHAREHOLDER | |
| BARTELS, STANLEY LEONARD | DIRECTOR OF SYNDICATE | 1011749 |
| COHEN, LEWIS HOWARD | FINOP | 1678304 |
| CONSIDINE, MICHAEL PIERCE | EXECUTIVE VP | 2789726 |
| GEORGE, MARK | SENIOR VICE PRESIDENT-SROP/DB ALEX BROWN DIVISION | 1701125 |
| REGAN, HUGH | PRESIDENT, DIRECTOR | 1254114 |
| RICH, LOUIS J | MGN DIR TRADING | 375430 |
| SANDS, JOHN KEATING | CHAIRMAN, DIRECTOR | |
| YORKE, AARON JONES IV | DIRECTOR | 701412 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 4 |
Red Flags
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