Robert B. Vanderwerker
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 Barnes Vanderwerker was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1972. Robert had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 2 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2008 - February 24, 2012
WALNUT STREET SECURITIES, INC.
October 28, 2008 - February 24, 2012
TOWER SQUARE SECURITIES, INC.
October 28, 2008 - January 2, 2015
NEW ENGLAND SECURITIES
October 28, 2008 - February 24, 2012
WALNUT STREET SECURITIES, INC.
October 28, 2008 - February 24, 2012
TOWER SQUARE SECURITIES, INC.
October 28, 2008 - January 2, 2015
NEW ENGLAND SECURITIES
September 5, 2003 - July 9, 2015
MSI FINANCIAL SERVICES, INC.
November 18, 1999 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
November 18, 1999 - July 9, 2015
MSI FINANCIAL SERVICES, INC.
October 7, 1997 - December 31, 1998
GUARANTY BROKERAGE SERVICES, INC.
November 1, 1993 - December 5, 1995
OSAIC WEALTH, INC.
April 2, 1991 - November 5, 1993
WEALTH BUILDERS EQUITY CORPORATION
April 21, 1972 - August 8, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 21, 1972 - August 8, 1989
EQUITABLE ADVISORS, 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 2
Date: 5/21/1996
Non-Member General Securities ExaminationSeries 1
Date: 4/17/1972
Registered Representative ExaminationCurrent Firm
WALNUT STREET SECURITIES, INC.
CRD#: 15840 / SEC#: 801-62161, 8-32772
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| METLIFE, INC. | DIRECT OWNER | |
| AQUINO, VIRGELAN ERNESTO | CHIEF COMPLIANCE OFFICER, BROKER DEALER | 2976229 |
| CARRIER, ANDRE THEODORE | CHIEF OPERATIONS OFFICER | 2257728 |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| DWYER, JAMES | VICE PRESIDENT, LICENSING AND REGISTRATION | |
| FORGET, ELIZABETH MARY | DIRECTOR | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| MARKHAM, CRAIG WILLIAM | PRESIDENT AND DIRECTOR | 1383638 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | 2210722 |
| TORRES, ISAAC | SECRETARY |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
