Robert Alan Speer
Professional Summary
Robert Alan Speer, who also goes by Robert A Speer, is a registered financial advisor currently at CARL MARKS SECURITIES LLC located in New York, New York. Robert is registered as a RR (Registered Representative) and started their career in finance in 2007. Robert has worked at 1 firm and has passed the Series 99TO, SIE and Series 28 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Robert A Speer
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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.
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Years of Experience
19 years in the financial services industry
Current & Past Employments
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Current Firm
CARL MARKS SECURITIES LLC | CARL MARKS SECURITIES, LLC
Contact Information
Main Address
900 Third Avenue 10th Floor Suite 1003, New York, NY, 10022Mailing Address
900 Third Avenue 10th Floor Suite 1003, New York, NY, 10022Phone Number
(212) 909-8400Established
New York since 05/25/2006Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (46 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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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.
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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 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Feb 2007About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Robert Alan Speer's CRS (Customer Relationship Summary).
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