Robert Murray Smith
Professional Summary
Robert Murray Smith was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1971 - 1999. Robert had worked at 5 firms and has passed the Series 63, Series 1 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Contact Information
No current employment
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Years of Experience
55 years in the financial services industry
Current & Past Employments
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Current Firm
INVESTEC INC. | PMG CAPITAL CORP. | PENNSYLVANIA MERCHANT GROUP LTD. | PENN MERCHANT GROUP, LTD. | INVESTEC PMG CAPITAL
Contact Information
Established
Delaware since 09/11/1986Firm Type
CorporationFiscal Year End
MarchDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESTEC USA GROUP, INC. | PARENT COMPANY | — |
| BURGHARDT MC DONOUGH, RITA CHRISTINE | SECRETARY | 4324201 |
| DRAZKA, FRANK JERRY | PRESIDENT | 2208093 |
| HERMAN, HUGH SIDNEY | DIRECTOR; CHAIRMAN OF THE BOARD | 3005992 |
| KANTOR, BERNARD | DIRECTOR | 3005897 |
| KOSEFF, STEPHEN | DIRECTOR | 3009705 |
| MURABITO, JOHN JAMES | CEO/ACTING HEAD OF CORP. FINANCE & CAP. MARKETS | 1075873 |
| PARAGGIO, STEVEN JOHN | CFO | 2495234 |
| RAPPAPORT, DAVID ROBERT | GENERAL COUNSEL | 2212433 |
| ROSENBLUM, SCOTT S. | DIRECTOR | 4251370 |
| WACHLER, LARRY PHILLIP | CCO/AML OFFICER | 1239220 |
Disclosures
Regulatory Event
3Arbitration
2Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Aug 1971Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Nov 1983Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
