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RF

Robert A. Forbes

THE FORBES SECURITIES GROUP
Greenwood Village, CO 80111
Some features on this profile are disabled
CRD#: 5765628
RF

Professional summary

Robert Alan Forbes is a registered financial professional currently at THE FORBES SECURITIES GROUP LLC located in Greenwood Village, Colorado.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2011. Robert has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 79 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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 Alan Forbes's 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

September 11, 2017 - Present

THE FORBES SECURITIES GROUP LLC

Office #1: 6400 S. Fiddlers Green Circle Suite 850, Greenwood Village, CO 80111
BD
CRD#: 288142
Greenwood Village, CO
Past

May 5, 2016 - August 24, 2017

RELIANCE WORLDWIDE INVESTMENTS, LLC

BD
CRD#: 143546
GURNEE, IL
Past

April 26, 2011 - June 4, 2014

HUNTER WISE SECURITIES, LLC

BD
CRD#: 104193
IRVINE, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
California
(4/14/2022)
RR
Colorado
(9/22/2017)
RR
Indiana
(9/8/2022)
RR
South Dakota
(8/25/2022)
RR
Tennessee
(4/28/2021)
RR
Utah
(1/30/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 4/10/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 4/25/2011
Investment Banking Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/14/2017
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TF
THE FORBES SECURITIES GROUP LLC
FORBES PARTNERS | THE FORBES SECURITIES GROUP LLC

CRD#: 288142 / SEC#: , 8-69926

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
6400 S. Fiddlers Green Circle Suite 850, Greenwood Village, CO 80111
Mailing Address
6400 S. Fiddlers Green Circle Suite 850, Greenwood Village, CO 80111
Phone number
(303) 770-6017
Established
Colorado since 02/01/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FORBES, ROBERT ALANPRESIDENT5765628
FORBES, SHARLEENOWNER
CARTER, ANA ROUMENOVAFINOP/PFO/POO4424794
WILEY, JONATHON DAVIDCHIEF COMPLIANCE OFFICER2524793

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.

Company Information

THE FORBES SECURITIES GROUP LLC

CRD#: 288142Greenwood Village, CO 80111

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