Robert J. Smith
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 Judson Smith, who also goes by Bob Smith, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1972. Robert had worked at 12 firms and has passed the Series 63, SIE, Series 1, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2015 - May 24, 2017
NORTHEAST SECURITIES, LLC
March 27, 2013 - October 14, 2013
NEWBRIDGE SECURITIES CORPORATION
July 18, 2003 - April 29, 2011
STERNE, AGEE & LEACH, INC.
May 12, 2003 - September 8, 2003
CHILTON & ASSOCIATES, INC.
August 13, 1998 - October 15, 2001
MARKETAXESS CORPORATION
November 3, 1992 - February 22, 2000
VIPO SECURITIES
October 3, 1990 - September 1, 1992
YAEGER SECURITIES, INC.
October 7, 1988 - September 19, 1990
SUTRO & CO. INCORPORATED
July 14, 1978 - October 18, 1988
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
April 18, 1977 - August 28, 1978
BACON, WHIPPLE & CO.
January 19, 1977 - May 15, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
September 27, 1974 - February 6, 1977
BACON, WHIPPLE & CO.
February 8, 1972 - October 30, 1974
MCMASTER HUTCHINSON & CO.
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 1
Date: 1/28/1972
Registered Representative ExaminationCurrent Firm
NORTHEAST SECURITIES, LLC
CRD#: 25996 / SEC#: , 8-42227
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSIGNEO FINANCIAL SERVICES, LLC | SHAREHOLDER | |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| DIAMANTIS, JOHN M | CHAIRMAN | 1310200 |
| DUFFY, PAUL EDWARD | PRESIDENT | 2227111 |
| O'ROURKE, CHARLES MICHAEL | SECRETARY | 733917 |
| STICE, HAROLD EUGENE | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, ROSFP | 1349210 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 11 |
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.
