Roberto E. Clynes
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.
Roberto Estuardo Clynes, who also goes by Bobby Clynes, Roberto E Clynes, Roberto Estnardo Clynes, Roberto Estuardo Clynes Mojica, was a registered financial professional .
Roberto is a previously registered financial professional and started their career in finance in 2006. Roberto had worked at 7 firms and has passed the Series 63, Series 65, Series 66, SIE 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
May 26, 2022 - November 14, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 26, 2022 - November 14, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 13, 2022 - June 13, 2022
PNC MANAGED ACCOUNT SOLUTIONS, INC.
September 17, 2021 - June 13, 2022
PNC WEALTH MANAGEMENT LLC
April 16, 2020 - December 31, 2021
PNC MANAGED ACCOUNT SOLUTIONS, INC.
March 23, 2020 - September 17, 2021
BBVA SECURITIES INC.
May 16, 2013 - July 18, 2016
BBVA SECURITIES INC.
October 15, 2010 - July 18, 2016
PNC MANAGED ACCOUNT SOLUTIONS, INC.
April 5, 2010 - October 15, 2010
ST JOHNS WEALTH MANAGEMENT
December 21, 2009 - March 15, 2010
BBVA COMPASS INVESTMENT SOLUTIONS, INC
June 30, 2009 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
March 9, 2006 - July 1, 2009
BBVA INVESTMENTS INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
