Robert J. Fromberg

LIFESCI CAPITAL

NEW YORK, NY 10019

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CRD#: 4843004

Professional summary

Robert Jay Fromberg is a registered financial professional currently at LIFESCI CAPITAL located in New York, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2004. Robert has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Robert Jay Fromberg's CRS (Customer Relationship Summary).

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

October 6, 2020 - Present

LIFESCI CAPITAL

Office #1: 1700 Broadway 40th Floor, New York, NY 10019

CRD#: 168404

NEW YORK, NY

Past

August 6, 2019 - September 23, 2020

LADENBURG THALMANN & CO. INC.

CRD#: 505

New York, NY

Past

January 24, 2018 - July 24, 2019

ROTH CAPITAL PARTNERS, LLC

CRD#: 15407

NEW YORK, NY

Past

September 11, 2017 - January 17, 2018

SEAPORT GLOBAL SECURITIES LLC

CRD#: 116270

NEW YORK, NY

Past

May 20, 2013 - April 28, 2017

H.C.WAINWRIGHT & CO., LLC

CRD#: 375

NEW YORK, NY

Past

November 9, 2011 - June 14, 2013

CHARDAN CAPITAL MARKETS LLC

CRD#: 120128

NEW YORK, NY

Past

November 11, 2004 - June 10, 2010

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(10/6/2020)

Colorado
(10/6/2020)

Connecticut
(10/6/2020)

Delaware
(10/6/2020)

Illinois
(10/6/2020)

Maryland
(10/6/2020)

Massachusetts
(10/6/2020)

Minnesota
(10/6/2020)

New Jersey
(10/6/2020)

New York
(10/6/2020)

Pennsylvania
(10/6/2020)

Exams

State Security Law Exam

IAR

Series 66

Date: 7/28/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/8/2004

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

LIFESCI CAPITAL

LIFESCI CAPITAL | LIFESCI CAPITAL, LLC

CRD#: 168404 / SEC#: , 8-69305

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

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Contact information

Main Address

1700 Broadway 40th Floor, New York, NY 10019

Mailing Address

1700 Broadway 40th Floor, New York, NY 10019

Phone number

(646) 597-6987

Established

New York since 03/14/2013

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
MCDONALD, ANDREW IAN	CHIEF EXECUTIVE OFFICER & OWNER	4853168
RICE, MICHAEL YEHUDA	PRESIDENT & OWNER	1551556
BENDER, STEVEN CHRISTOPHER	CFO/ FINOP	2650187
EVERTTS, ADAM GERALD	DOR - DIRECTOR OF RESERACH	6240428
KARMIOL, MICHAEL BRETT	HEAD OF CAPITAL MARKETS	4264477
VISCO, GLENN	CHIEF COMPLIANCE OFFICER	2407619

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Robert J. Fromberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Jay Fromberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

LADENBURG THALMANN & CO. INC.

ROTH CAPITAL PARTNERS, LLC

SEAPORT GLOBAL SECURITIES LLC

H.C.WAINWRIGHT & CO., LLC

CHARDAN CAPITAL MARKETS LLC

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/28/2005

SIE

Date: 10/1/2018

Series 7

Date: 11/8/2004

FINRA

Nasdaq Stock Market

Current Firm

LIFESCI CAPITAL

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LIFESCI CAPITAL

TRUST BUT VERIFY

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