Robert C. Stamsos
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 Charles Stamsos, who also goes by Bob Stamsos, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1973. Robert had worked at 13 firms and has passed the Series 63, Series 15, Series 5, Series 7, Series 1, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 1994 - August 22, 1996
ASSOCIATED SECURITIES CORP.
July 15, 1992 - June 28, 1994
CALIFORNIA ONE INVESTMENTS
September 27, 1990 - June 9, 1992
PRUDENTIAL EQUITY GROUP, LLC
July 11, 1989 - October 9, 1990
GRUNTAL & CO., L.L.C.
December 21, 1988 - June 8, 1989
GFC SECURITIES CORPORATION
January 7, 1988 - December 7, 1988
UBS FINANCIAL SERVICES INC.
September 18, 1986 - December 9, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 12, 1978 - September 25, 1986
UBS FINANCIAL SERVICES INC.
November 12, 1976 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
August 27, 1976 - January 1, 1977
BACHE HALSEY STUART INC.
June 25, 1975 - August 27, 1976
BACHE & CO INCORPORATED
July 10, 1973 - May 6, 1975
IDS LIFE INSURANCE COMPANY
July 10, 1973 - May 16, 1975
AMERICAN EXPRESS FINANCIAL CORPORATION
July 10, 1973 - May 16, 1975
AMERIPRISE FINANCIAL SERVICES, 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 15
Date: 4/2/1983
Foreign Currency Options ExaminationSeries 5
Date: 11/9/1981
Interest Rate Options ExaminationSeries 1
Date: 7/6/1973
Registered Representative ExaminationCurrent Firm
ASSOCIATED SECURITIES CORP.
CRD#: 12969 / SEC#: , 8-28568
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASSOCIATED FINANCIAL GROUP, INC. | HOLDING COMPANY | |
| BROWN, STEPHANIE LEIGH | DIRECTOR | 1973369 |
| DWYER, WILLIAM EDWARD III | DIRECTOR | 1274680 |
| KALBAUGH, JOHN ANDREW | CHIEF EXECUTIVE OFFICER | 1821773 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VALTAIRO, PHILLIP BUHAY | VICE PRESIDENT AND CFO, AFFILIATED BROKER-DEALER CONTROLLER | 4481362 |
| VANNOY-PINEDA, KATHLEEN DENISE | CHIEF COMPLIANCE OFFICER | 1347526 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 7 |
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.
