AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RH

Robert C. Houston

Some features on this profile are disabled
CRD#: 4850725
RH

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 Charles Houston, who also goes by Robert C. Houston, Robert Charles Houston Jr., was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 2004. Robert had worked at 4 firms and has passed the Series 66, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert C. Houston | Robert Charles Houston Jr.

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)

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

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

Past

October 29, 2010 - February 6, 2012

CORBY CAPITAL MARKETS, INC.

BD
CRD#: 7165
BOSTON, MA
Past

October 4, 2006 - October 15, 2010

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI
Past

January 9, 2006 - November 3, 2009

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
SMITHFIELD, RI
Past

October 20, 2004 - October 4, 2006

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI

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

State Security Law Exam
RR
IAR
Series 66
Date: 12/23/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/26/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/19/2004
General Securities Representative Examination

Current Firm

CC
CORBY CAPITAL MARKETS, INC.
CORBY ASSET MANAGEMENT LLC | R. W. CORBY & CO., INC. | CORBY NORTH BRIDGE SECURITIES, INCORPORATED | CORBY CAPITAL MARKETS, INC.

CRD#: 7165 / SEC#: , 8-18812

BD
Terminated by SEC on 09/13/2013
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 09/08/1975
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
REILLY, MICHAEL JOHNPRESIDENT, CHIEF EXECUTIVE OFFICER373490
CORBY, ROBERT WISSDIRECTOR54059
BETTENCOURT, ELIZABETH C.VICE PRESIDENT, CHIEF COMPLIANCE OFFICER5881103

Disclosures

Regulatory Event9

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

CORBY CAPITAL MARKETS, INC.

CRD#: 7165

TRUST BUT VERIFY

Monitor Robert Houston

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics