Robert A. Setzer
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 A Setzer Jr, who also goes by Robert A Setzer, Robert Allyn Setzer Jr, Robert Setzer, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2016. Robert had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2022 - July 3, 2024
ADP BROKER-DEALER, INC.
November 16, 2020 - September 23, 2022
RETIREONE INVESTMENT SERVICES, LLC
November 28, 2018 - September 24, 2019
SECURIAN FINANCIAL SERVICES, INC.
November 20, 2018 - September 24, 2019
SECURIAN FINANCIAL SERVICES, INC.
December 13, 2017 - October 30, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 27, 2017 - October 30, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 4, 2016 - September 13, 2017
ADP BROKER-DEALER, INC.
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
ADP BROKER-DEALER, INC.
CRD#: 37693 / SEC#: , 8-47885
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADP ATLANTIC, LLC | SHAREHOLDER | |
| BARRENECHEA, PATRICIA MARGOT | FINOP | 1715189 |
| BLAKE, JAMES PATRICK | PRESIDENT, DIRECTOR | 3078844 |
| BOYLE, JAMES RICHARD | AML OFFICER | 3137180 |
| DOSPASSOS-KRIEG, KRISTIN ANNE | DIRECTOR | 3079254 |
| HANLEY, JUANITA DAVIDA | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | 5217439 |
| HODGES, JEFFRY AARON | DIRECTOR | 5865575 |
| HUREAU, MICHAEL RAY | DIRECTOR | 5990787 |
| MCCUE, TERRANCE | RISK MANAGEMENT OFFICER | 7259942 |
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.
