Robert S. Trimble
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 Scott Trimble, who also goes by Robert Trimble, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2000. Robert had worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 21 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2012 - April 2, 2024
WALL STREET ACCESS
March 20, 2012 - July 19, 2012
RODMAN & RENSHAW, LLC
June 30, 2011 - March 14, 2012
KNIGHT CAPITAL AMERICAS, L.P.
October 21, 2010 - June 15, 2011
GREYWOLF EXECUTION PARTNERS, INC.
May 17, 2001 - June 11, 2010
REDI GLOBAL TECHNOLOGIES LLC
October 1, 2000 - November 8, 2002
REDI GLOBAL TECHNOLOGIES LLC
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/1/2011
Limited Representative-Equity Trader ExamSeries 21
Date: 2/10/2000
NYSE Front Line Specialist ClerkSeries 25
Date: 9/27/1999
NYSE Trading Assistant ExaminationCurrent Firm
WALL STREET ACCESS
CRD#: 10012 / SEC#: , 8-25936
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DPK SECURITIES, LLC | 98% OWNER/GENERAL PARTNER | |
| DENIS P. KELLEHER, LLC | 2% OWNER/GENERAL PARTNER | |
| GOETCHIUS, ARTHUR LEROY | CHIEF EXECUTIVE OFFICER | 1374251 |
| KELLEHER, SEAN MICHAEL | PRESIDENT | 1726997 |
| LAVIN, WILLIAM KANE JR | EXECUTIVE MANAGING DIRECTOR / ROSFP | 2703117 |
| MITCHELL, JOHN LOUIS | CHIEF FINANCIAL OFFICER / FINOP | 2193524 |
| O'CONNELL, JOHN PATRICK | ASSISTANT CONTROLLER | 4698479 |
| VISCOVICH, GREGORY DOMINIC | CHIEF COMPLIANCE OFFICER | 2621348 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 15 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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