Robert J. Check
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 Joseph Check was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1970. Robert had worked at 13 firms and has passed the Series 65, Series 63, Series 7, PC, Series 1 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2000 - April 19, 2002
INTERNATIONAL ASSETS ADVISORY, LLC
June 1, 1995 - September 23, 1999
TUCKER ANTHONY INCORPORATED
August 16, 1994 - April 24, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 8, 1993 - July 14, 1994
PNC CAPITAL MARKETS LLC
September 9, 1991 - October 23, 1992
GLEACHER & COMPANY SECURITIES, INC.
May 9, 1979 - October 17, 1989
ADVEST, INC.
November 23, 1977 - March 20, 1979
CLAYTON BROWN & ASSOCIATES, INC.
September 16, 1977 - January 3, 1978
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
June 2, 1976 - August 27, 1976
BACHE & CO INCORPORATED
November 21, 1975 - May 30, 1976
G.K. ALLEN & CO. INC.
November 26, 1973 - October 19, 1974
NUVEEN SECURITIES, LLC
January 26, 1970 - November 24, 1973
AMERICAN EXPRESS INVESTMENT MANAGEMENT COMPANY
Primary Firm SEC Registration
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
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
PC
Date: 4/1/1979
AMEX Put and Call ExamSeries 1
Date: 5/18/1968
Registered Representative ExaminationCurrent Firm
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PECUNIA MANAGEMENT, LLC | OWNER | |
| COFRANCESCO, EDWARD RICHARD | CEO | 2305035 |
| HARRIS, KEVIN ANDRE | FINOP | 7061906 |
| LAMPMAN, MATTHEW EDWARD | PRESIDENT/CHIEF OPERATING OFFICER | 6132493 |
| MOORE, ANN KATHERINE | CHIEF BUSINESS DEVELOPMENT OFFICER | 5535928 |
| NICHOLSON, MYRA PEARLE | CHIEF LEGAL OFFICER, CHIEF RISK OFFICER | 2740029 |
| WEINBERGER, DAVID S | REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER | 2676116 |
| WEISS, RICHARD JAY | CHIEF COMPLIANCE OFFICER, CHIEF AML CCO | 2523174 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
