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Robert M. Tonge

Some features on this profile are disabled
CRD#: 600137
RT

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 Morgan Tonge was a registered financial advisor .

Robert is a previously registered financial advisor and started their career in finance in 1958. Robert had worked at 4 firms .

top-8-questions

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 27, 2006 - January 2, 2008

RICHARD BROTHERS SECURITIES

BD
CRD#: 105285
SOUTH PORTLAND, ME
Past

March 2, 2005 - January 30, 2012

TONGE INVESTMENTS

RIA
CRD#: 119651
WATERVILLE , ME
Past

January 29, 1975 - September 8, 2006

R. M. TONGE COMPANY

BD
CRD#: 6806
WATERVILLE, ME
Past

October 27, 1958 - March 21, 1975

SMITH AND CO

BD
CRD#: 1000001

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Current Firm

RB
RICHARD BROTHERS SECURITIES
ALLEGIANCE CAPITAL, L.L.C. | RICHARD BROTHERS SECURITIES | RICHARD BROTHERS FINANCIAL ADVISORS

CRD#: 105285 / SEC#: , 8-52978

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

Main Address
50 Donald B. Dean Drive Suite One, South Portland, ME 04106
Mailing Address
50 Donald B. Dean Drive Suite One, South Portland, ME 04106
Phone number
(207) 879-2352
Established
Maine since 08/29/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (12 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RICHARD, NEAL PATRICKMANAGING PARTNER, FINOP2229267
RICHARD, RANDALL JONMANAGING PARTNER, GSP, CCO1800517

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

RICHARD BROTHERS SECURITIES

CRD#: 105285

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