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RL

Robert Loeb

Some features on this profile are disabled
CRD#: 4132059
RL

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 Loeb, who also goes by Robert David Loeb, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 2000. Robert had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert David Loeb

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 14, 2018 - October 23, 2018

CHELSEA FINANCIAL SERVICES

BD
CRD#: 47770
STATEN ISLAND, NY
Past

June 27, 2012 - May 3, 2018

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
New York, NY
Past

March 9, 2012 - May 3, 2018

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
New York, NY
Past

February 13, 2008 - March 9, 2012

HSBC SECURITIES (USA) INC.

RIA
CRD#: 19585
NEW YORK, NY
Past

February 13, 2008 - March 9, 2012

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK, NY
Past

August 11, 2006 - October 11, 2007

HSBC SECURITIES (USA) INC.

RIA
CRD#: 19585
LIVINGSTON, NJ
Past

August 11, 2006 - October 11, 2007

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
LIVINGSTON, NJ
Past

December 1, 2005 - August 4, 2006

BNY INVESTMENT CENTER INC.

RIA
CRD#: 47683
NEW YORK,
Past

August 30, 2005 - August 4, 2006

BNY INVESTMENT CENTER INC.

BD
CRD#: 47683
NEW YORK, NY
Past

March 9, 2005 - August 22, 2005

AMERIPRISE ADVISOR SERVICES, INC.

RIA
CRD#: 5979
SUMMIT, NJ
Past

March 8, 2005 - August 22, 2005

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI
Past

October 20, 2004 - March 9, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
GLEN RIDGE, NJ
Past

October 20, 2004 - March 9, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

November 21, 2002 - October 20, 2004

QUICK & REILLY, INC.

RIA
CRD#: 11217
GLEN RIDGE, NJ
Past

April 25, 2001 - October 20, 2004

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

November 6, 2000 - April 25, 2001

SUMMIT FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 7246
BETHLEHEM, PA
Past

April 4, 2000 - November 3, 2000

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/22/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/7/2000
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: 4/3/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/30/2007
General Securities Sales Supervisor - Options Module Examination

Current Firm

CF
CHELSEA FINANCIAL SERVICES
CHELSEA FINANCIAL SERVICES | DBA CHELSEA FINANCIAL SERVICES | CHELSEA MORGAN SECURITIES, INC.

CRD#: 47770 / SEC#: , 8-51916

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

Main Address
242 Main Street, Staten Island, NY 10307
Mailing Address
242 Main Street, Staten Island, NY 10307
Phone number
(718) 967-8400
Established
New York since 05/05/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PISAPIA, JOHN THOMASPRESIDENT2336216
SEBOLD, STEPHEN RAPHAELCHIEF COMPLIANCE OFFICER2453748

Disclosures

Regulatory Event4

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

CHELSEA FINANCIAL SERVICES

CRD#: 47770

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