Zachary S. Sternberg
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.
Zachary Samuel Sternberg, who also goes by Zachary Samual Sternberg, was a registered financial professional .
Zachary is a previously registered financial professional and started their career in finance in 2009. Zachary had worked at 1 firm and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2009 - June 12, 2014
ROBOTTI SECURITIES, 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
Current Firm
ROBOTTI SECURITIES, LLC
CRD#: 13251 / SEC#: , 8-28886
Contact information
FINRA licenses (32 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBOTTI & COMPANY, INCORPORATED | STOCKHOLDER 100% OWNER OF APPLICANT | |
| KELLEHER, DENNIS MICHAEL | CHIEF COMPLIANCE OFFICER | 2107342 |
| MCQUEENEY, DAVID VINCENT | SROP, ROP | 2440806 |
| MEVORAH, ERWIN I | CFO, FIN/OP & SECRETARY | 1944735 |
| ROBOTTI, ROBERT EDWARD | PRESIDENT, CEO, GSP, TREASURER | 732905 |
| ROBOTTI, SUZANNE BENSON | DIRECTOR | 4616454 |
| SEKLIR, NANCY ELIZABETH | DIRECTOR | 1756843 |
| WASIAK, KENNETH RONALD | DIRECTOR | 1485703 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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