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Hector Robles

CRD# 4563129·Registered 2006 - 2026
Previously Registered: Being a previously registered professional could mean that Hector 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.

Professional Summary

Hector Robles was a registered financial advisor. Hector was a previously registered financial professional and started their career in finance 2006 - 2026. Hector had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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

20 years in the financial services industry

Current & Past Employments

BESTEX RESEARCH SECURITIES, LLC·CRD# 309569
BD
Stamford, CT
February 22, 2022 - June 30, 2026
UBS SECURITIES LLC·CRD# 7654
BD
New York, NY
July 13, 2018 - November 6, 2019
QUANTITATIVE BROKERS, LLC·CRD# 169876
BD
New York, NY
December 19, 2016 - July 10, 2018
MIZUHO SECURITIES USA LLC·CRD# 19647
BD
Chicago, IL
January 15, 2010 - February 4, 2015
UBS SECURITIES LLC·CRD# 7654
BD
Chicago, IL
October 2, 2006 - December 10, 2009
ABN AMRO INCORPORATED·CRD# 15776
BD
Stamford, CT
January 1, 2006 - October 6, 2006

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Current Firm

BR
BESTEX RESEARCH SECURITIES, LLC

BESTEX RESEARCH SECURITIES, LLC

CRD#: 309569 / SEC#: 8-70584
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)

Contact Information

Main Address

2 Landmark Square Suite 214, Stamford, CT 06901

Mailing Address

2 Landmark Square Suite 214, Stamford, CT 06901

Phone Number

(203) 989-9218

Established

Delaware since 04/23/2020

Firm Type

Limited Liability Company

Fiscal Year End

September

Firm Size

Small

FINRA licenses (30 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

NamePositionCRD#
BESTEX RESEARCH GROUP, LLCDIRECT OWNER—
FRUCHTER, MICHAEL ALANFINOP4202965
MEROLLA, PAUL ANTHONY SR.CHIEF COMPLIANCE OFFICER1099818
MITTAL, HITESHCHIEF EXECUTIVE OFFICER4540871
SARAIYA, NIGAM HARISHCHIEF PRODUCT OFFICER5498898

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 2022About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Dec 2005About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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