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LC

Lindsay Cobb

ROYCE FUND SERVICES
NEW YORK, NY 10010
Some features on this profile are disabled
CRD#: 4817738
LC

Professional summary

Lindsay Cobb, who also goes by Lindsey Cobb, is a registered financial professional currently at ROYCE FUND SERVICES, LLC located in New York, New York.

Lindsay is registered as a RR (Registered Representative) and started their career in finance in 2006. Lindsay has worked at 2 firms and has passed the SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lindsey Cobb

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lindsay Cobb's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 19, 2012 - Present

ROYCE FUND SERVICES, LLC

Office #1: One Madison Avenue 17th Floor, New York, NY 10010
BD
CRD#: 14470
NEW YORK, NY
Past

February 20, 2006 - November 29, 2010

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
BALTIMORE, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/18/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RF
ROYCE FUND SERVICES, LLC
QUEST DISTRIBUTORS, INC. | ROYCE FUND SERVICES, LLC | ROYCE FUND SERVICES, INC. | QUEST SECURITIES,INC.

CRD#: 14470 / SEC#: , 8-28663

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
One Madison Avenue 17th Floor, New York, NY 10010
Mailing Address
One Madison Avenue 17th Floor, New York, NY 10010
Phone number
(212) 508-4500
Established
Delaware since 02/24/2017
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ROYCE & ASSOCIATES, LPMEMBER
CLARK, CHRISTOPHER DEWITTPRESIDENT, SUPERVISORY PRINCIPAL1735713
DENNEEN, JOHN EDWARDSECRETARY, GENERAL COUNSEL4324430
GANNON, FRANCIS DOYLEVICE PRESIDENT2420802
PALASITS, THOMAS RTREASURER, FINANCIAL & OPERATIONS PRINCIPAL1675575
WILSON, DAVID BERTRANDCHIEF COMPLIANCE OFFICER5780721

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.

Company Information

ROYCE FUND SERVICES, LLC

CRD#: 14470New York, NY 10010

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