Robert R. Brower

VANDERBILT SECURITIES

Long Island City, NY 11101

Some features on this profile are disabled

CRD#: 5400590

Professional summary

Robert Raymond Brower is a registered financial professional currently at VANDERBILT SECURITIES, LLC located in Long Island City, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2007. Robert has worked at 6 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 Raymond Brower'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

December 2, 2014 - Present

VANDERBILT SECURITIES, LLC

Office #1: 40-18 34th Avenue, Long Island City, NY 11101

CRD#: 5953

Long Island City, NY

Past

November 14, 2011 - January 3, 2013

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

NEW YORK, NY

Past

January 8, 2010 - October 19, 2011

OSAIC WEALTH, INC.

RIA

CRD#: 23131

BROOKLYN, NY

Past

December 16, 2009 - October 19, 2011

OSAIC WEALTH, INC.

CRD#: 23131

BROOKLYN, NY

Past

March 23, 2009 - December 8, 2009

MML INVESTORS SERVICES, LLC

CRD#: 10409

NEW YORK, NY

Past

November 4, 2008 - February 6, 2009

EQUITABLE ADVISORS, LLC

CRD#: 6627

LAKE SUCCESS, NY

Past

August 10, 2007 - October 15, 2008

NATIONAL SECURITIES CORPORATION

CRD#: 7569

HUNTINGTON, NY

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

Connecticut
(7/2/2015)

Delaware
(10/1/2024)

Florida
(1/4/2018)

Georgia
(10/18/2018)

New Jersey
(12/14/2018)

New York
(12/2/2014)

North Carolina
(1/8/2020)

Oregon
(11/7/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 8/31/2007

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: 8/9/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

VANDERBILT SECURITIES, LLC

RICHARDT-ALYN & CO. | VANDERBILT SECURITIES, LLC | VANDERBILT SECURITIES

CRD#: 5953 / SEC#: , 8-16712

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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

125 Froehlich Farm Blvd., Woodbury, NY 11797

Mailing Address

125 Froehlich Farm Blvd., Woodbury, NY 11797

Phone number

(631) 845-5100

Established

New York since 12/05/2001

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
VANDERBILT CAPITAL, LLC	SOLE OWNER
ANTENOR, JR, DANIEL	CHIEF OPERATIONS OFFICER/OPTIONS/MUNI	5839052
DISTANTE, STEPHEN ALFRED	CEO - LIMITED PARTNER	2206574
PLAPP, MEGAN LYNN	FINOP, POO, PFO, CFO	6790596
THOMAS, MICHELLE DENISE	CHIEF COMPLIANCE OFFICER	2210435
TRIFILETTI, JOSEPH JOHN	PRESIDENT	5295897

Disclosures

Regulatory Event	5
Arbitration	1

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert R. Brower

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Raymond Brower's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY BROKERAGE SERVICES LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

MML INVESTORS SERVICES, LLC

EQUITABLE ADVISORS, LLC

NATIONAL SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 8/31/2007

SIE

Date: 10/1/2018

Series 7

Date: 8/9/2007

FINRA

Current Firm

VANDERBILT SECURITIES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VANDERBILT SECURITIES, LLC

TRUST BUT VERIFY

Similar Advisors