Robert A. Yampell
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 Arthur Yampell was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1988. Robert had worked at 4 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2002 - November 4, 2013
ACCESS WEALTH
April 27, 1994 - November 25, 2003
OSAIC WEALTH, INC.
July 25, 1989 - February 16, 1993
NOMURA SECURITIES INTERNATIONAL, INC.
October 14, 1988 - April 17, 1989
GOLDMAN SACHS & CO. LLC
Primary Firm SEC Registration
ACCESS WEALTH
CRD#: 112973 / SEC#: 801-60406
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
ACCESS WEALTH
CRD#: 112973 / SEC#: 801-60406
Contact information
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,014 |
| AUM (Assets Under Management) | $ 490,388,112 |
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.
