Robert Stephen Anderson
CFAProfessional Summary
Robert Stephen Anderson, CFA, who also goes by Bob Stephen Anderson, Bob Anderson, is a registered financial advisor currently at PENBROOK MANAGEMENT LLC located in New York, New York and BEECH HILL SECURITIES, INC. located in New York, New York. Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1969. Robert has worked at 9 firms and has passed the Series 63, Series 7TO,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Robert Stephen Anderson, Bob Stephen Anderson, Bob Anderson
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures on record.
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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Credentials
Years of Experience
57 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
PENBROOK MANAGEMENT LLC
Contact Information
Main Address
880 Third Avenue 16th Floor, New York, NY 10022Phone Number
(212) 792-6952# of Employees
4SEC notice filing (7 States and Territories)
Registered to provide investment advisory services in 7 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
168AUM (Assets Under Management)
$175,390,001Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
PENBROOK MANAGEMENT LLC
State Registrations and Notice Filings
(9/12/2013)
(9/11/2013)
(9/11/2013)
(9/12/2013)
(9/11/2013)
(9/29/2025)
(9/11/2013)
(9/11/2013)
(8/19/2021)
(9/12/2013)
(11/24/2021)
(1/4/2007)
(9/11/2013)
(9/12/2013)
(11/7/2023)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Jul 1969Series 00 — General Securities Principal Examination
Passed Jan 1973SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Robert Stephen Anderson's CRS (Customer Relationship Summary).
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