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Craig Escobar

Some features on this profile are disabled
CRD#: 4270085
CE

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.

Craig Escobar was a registered financial professional .

Craig is a previously registered financial professional and started their career in finance in 2000. Craig had worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

March 24, 2011 - April 3, 2012

ROCKWELL GLOBAL CAPITAL LLC

BD
CRD#: 142485
NEW YORK, NY
Past

January 25, 2010 - March 24, 2011

FIRST MIDWEST SECURITIES, INC.

RIA
CRD#: 21786
NEW YORK, NY
Past

January 22, 2010 - March 24, 2011

FIRST MIDWEST SECURITIES, INC.

BD
CRD#: 21786
NEW YORK, NY
Past

September 30, 2009 - February 4, 2010

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

RIA
CRD#: 124446
LEVITTOWN, NY
Past

September 29, 2009 - February 4, 2010

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
FARMINGDALE, NY
Past

April 18, 2008 - September 29, 2009

NFSG CORPORATION

RIA
CRD#: 130814
BOCA RATON, FL
Past

April 16, 2008 - September 29, 2009

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
NEW YORK, NY
Past

August 2, 2007 - April 16, 2008

INVESTACORP, INC.

BD
CRD#: 7684
NEW YORK, NY
Past

October 25, 2004 - August 16, 2007

LADENBURG THALMANN ASSET MANAGEMENT INC

RIA
CRD#: 108604
MELVILLE, NY
Past

November 20, 2002 - August 14, 2007

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

September 25, 2000 - November 20, 2002

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, 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: 10/22/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/6/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/22/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/3/2002
General Securities Principal Examination

Current Firm

RG
ROCKWELL GLOBAL CAPITAL LLC
ROCKWELL GLOBAL CAPITAL LLC

CRD#: 142485 / SEC#: , 8-67467

BD
Terminated by SEC on 02/14/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 12/21/2005
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GUARINO, BRUCE JUDEOPERATING OFFICER1096719
GUARINO, DOUGLAS JOSEPHCCO1771389

Disclosures

Regulatory Event1
Arbitration7

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

ROCKWELL GLOBAL CAPITAL LLC

CRD#: 142485

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