Robert D. Ross
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 David Ross, who also goes by Bob Rosenfeld, Robert David Rosenfeld, Bob Ross, Robert D Ross, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1971. Robert had worked at 14 firms and has passed the Series 63, Series 55, Series 5, Series 1, Series 27, Series 53, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 1999 - April 6, 2000
ON-SITE TRADING, INC.
March 29, 1999 - November 18, 1999
SCHONFELD SECURITIES, LLC
July 7, 1992 - January 1, 1999
ROSS SECURITIES CORP.
October 11, 1991 - August 3, 1992
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 4, 1991 - October 30, 1991
JOSEPHTHAL & CO., INC.
April 19, 1991 - October 17, 1991
JJC SECURITIES CO., INC.
October 5, 1984 - October 25, 1991
ROSS SECURITIES CORP.
August 9, 1983 - November 30, 1984
KIDDER, PEABODY & CO. INCORPORATED
August 7, 1978 - August 29, 1983
UBS FINANCIAL SERVICES INC.
January 26, 1978 - August 6, 1978
LOEB RHOADES & CO. INC.
November 30, 1976 - January 13, 1978
E. F. HUTTON & COMPANY INC
January 26, 1976 - December 22, 1976
DREXEL BURNHAM LAMBERT INCORPORATED
March 7, 1973 - February 22, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
September 13, 1971 - September 30, 1972
EQUITY FUNDING SECURITIES CORP
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 55
Date: 2/15/2000
Limited Representative-Equity Trader ExamSeries 5
Date: 10/23/1981
Interest Rate Options ExaminationSeries 1
Date: 9/8/1971
Registered Representative ExaminationSeries 8
Date: 1/30/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ON-SITE TRADING, INC.
CRD#: 30271 / SEC#: , 8-47104
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ON-SITE ENERGY SYSTEMS, INC. | SHAREHOLDER | |
| STIEVELMAN, JACK | SHAREHOLDER | 2571504 |
| MEDNICK, GARY DAVID | PRESIDENT-CEO | 735786 |
| LIPSKY, ROBERT MARK | SHAREHOLDER | 2111939 |
| BASKIND, ROBERT P | SHAREHOLDER | |
| BERGLEITNER, GEORGE CHARLES III | SROP/CROP | 1247338 |
| BOCCIO, FRANK LOUIS | CFO | 24461 |
| JAHRE, HOWARD GORDON | CHAIRMAN | 2238671 |
| NWAIGWE, LINUS NKEM | CHEIF COMPLIANCE OFFICER | 2613032 |
| STONE, ARTHUR | COMPLIANCE OFFICER | 437238 |
Disclosures
| Regulatory Event | 3 |
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.
