Robert Sierra
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 Sierra was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1999. Robert had worked at 13 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2017 - January 23, 2018
LINCOLN INVESTMENT
December 23, 2013 - January 23, 2018
LEGEND ADVISORY, LLC
December 20, 2013 - January 3, 2017
LEGEND EQUITIES CORPORATION
May 21, 2010 - December 31, 2011
IC ADVISORY SERVICES, INC.
May 21, 2010 - December 31, 2011
THE INVESTMENT CENTER, INC.
January 23, 2009 - June 10, 2010
SECURITIES AMERICA ADVISORS, INC.
January 23, 2009 - June 9, 2010
SECURITIES AMERICA, INC.
January 5, 2004 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
October 30, 2003 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
January 3, 2003 - October 30, 2003
EASTERN POINT ADVISORS INC.
December 5, 2002 - October 30, 2003
INVESTORS CAPITAL CORP.
July 23, 2002 - October 31, 2002
CITISTREET FINANCIAL SERVICES LLC
December 22, 1999 - October 31, 2002
CITISTREET EQUITIES LLC
November 19, 1999 - December 8, 1999
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
LINCOLN INVESTMENT
CRD#: 519 / SEC#: 801-14059, 8-14354
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
Current Firm
LINCOLN INVESTMENT
CRD#: 519 / SEC#: 801-14059, 8-14354
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | MEMBER/OWNER | |
| ALEXANDER, DANIEL SEAN | EXECUTIVE VICE-PRESIDENT, CHIEF BUSINESS DEVELOPMENT OFFICER | 4051341 |
| BUETI, ANTHONY CHARLES | SENIOR VICE-PRESIDENT, OPERATIONS & SERVICE/ PRINCIPAL OPERATIONS OFFICER | 5876104 |
| BURA, KAREN DOUGHERTY | VICE-PRESIDENT, CONTROLLER | 1666006 |
| ESTES, JASON CHRISTOPHER | EXECUTIVE VICE-PRESIDENT, CHIEF INFORMATION & TECHNOLOGY OFFICER | 7485210 |
| FLAX, STEVEN NEIL | EXECUTIVE VICE-PRESIDENT, CHIEF HUMAN RESOURCES OFFICER | 5655474 |
| FORST, EDWARD SAMUEL JR | ELECTED MANAGER/CEO | 708024 |
| LECKEY, KATHLEEN KINSLOW | PRESIDENT, CHIEF OPERATING OFFICER | 2447809 |
| MATTSON, MAUREEN ANN | EXECUTIVE VICE-PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | 5952728 |
| MCCARTHY, DIANE MULHERRIN | EXECUTIVE VICE-PRESIDENT/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/ELECTED MANAGER | 4923328 |
| MEHROTRA, SHASHI | SENIOR VICE-PRESIDENT, CHIEF INVESTMENT OFFICER | 2640875 |
| OBERLIES, SUSAN MARY | SENIOR VICE-PRESIDENT, CORPORATE COUNSEL/SECRETARY | 3009149 |
Regulatory assets under management
| Total Number of Accounts | 201,292 |
| AUM (Assets Under Management) | $ 18,904,482,714 |
Disclosures
| Regulatory Event | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
