Robert A. Semon
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 Allyn Semon was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1972. Robert had worked at 6 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2002 - August 30, 2006
RYAN BECK & CO.
July 27, 1988 - June 10, 2002
GRUNTAL & CO., L.L.C.
November 30, 1976 - May 13, 1988
PHILIPS, APPEL & WALDEN, INC.
March 25, 1974 - September 9, 1978
DIAMOND, TURK & CO.
September 19, 1972 - April 13, 1974
MACK, BUSHNELL & EDELMAN, INC.
June 6, 1972 - October 14, 1972
VAN ALSTYNE ASSOCIATES
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
PC
Date: 4/4/1977
AMEX Put and Call ExamSeries 1
Date: 6/5/1972
Registered Representative ExaminationCurrent Firm
RYAN BECK & CO.
CRD#: 3248 / SEC#: , 8-12296
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RYAN BECK HOLDINGS, INC | SHAREHOLDER | |
| CULLEN, THOMAS WILLIAM | CHIEF FINANCIAL OFFICER | 2702098 |
| KRUSZEWSKI, RONALD JAMES | DIRECTOR | 1434827 |
| PELLEGRINO, JOHN RICHTER | SENIOR V.P.,DIRECTOR OF COMPLIANCE | 826719 |
| PLOTKIN, BEN ALAN | CHAIRMAN AND CEO, DIRECTOR | 1692122 |
| STEGELAND, GARRY JOSEPH | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | 1881270 |
| ZEMLYAK, JAMES MARK | DIRECTOR | 1586132 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 5 |
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.
