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RP

Robert L. Pernicka

MAN INVESTMENTS
New York, NY 10105
Some features on this profile are disabled
CRD#: 6123504
RP

Professional summary

Robert Louis Pernicka Jr., who also goes by Robert Pernicka, is a registered financial professional currently at MAN INVESTMENTS INC. located in New York, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2016. Robert has worked at 2 firms and has passed the Series 63, Series 3, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert Pernicka

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 Louis Pernicka Jr.'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

February 23, 2022 - Present

MAN INVESTMENTS INC.

Office #1: 1345 Avenue Of The Americas 21st Floor, New York, NY 10105
BD
CRD#: 15770
New York, NY
Past

June 1, 2018 - December 16, 2021

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY
Past

April 18, 2016 - May 11, 2018

MAN INVESTMENTS INC.

BD
CRD#: 15770
NEW YORK, NY

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
Arizona
(1/6/2025)
RR
California
(1/8/2025)
RR
Colorado
(1/6/2025)
RR
Nevada
(1/6/2025)
RR
New Mexico
(1/6/2025)
RR
New York
(2/23/2022)
RR
Oregon
(1/6/2025)
RR
Tennessee
(2/23/2022)
RR
Utah
(1/6/2025)
RR
Washington
(1/6/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 6/3/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 3/14/2022
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/18/2016
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MI
MAN INVESTMENTS INC.
E.D. & F. MAN INTERNATIONAL SECURITIES CORPORATION | MAN INVESTMENTS INC. | MAN INVESTMENT PRODUCTS INC. | MAN INTERNATIONAL SECURITIES CORPORATION | E.D. & F. MAN INVESTMENT PRODUCTS INC. | E.D. & F. MAN INVESTMENT PRODUCTS INC

CRD#: 15770 / SEC#: , 8-32575

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

Main Address
1345 Avenue Of The Americas 21st Floor, New York, NY 10105
Mailing Address
1345 Avenue Of The Americas 21st Floor, New York, NY 10105
Phone number
(212) 649-6600
Established
New York since 07/12/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MAN INVESTMENTS HOLDINGS INC.SHAREHOLDER
HEISKELL, GROVER LEE IIIVICE PRESIDENT AND DIRECTOR2886606
KILLARD, MICHELLE AMYFINOP6582751
LE GALL, NADINECHIEF COMPLIANCE OFFICER4358239
PHILLIPS, MEAGAN PEARL SMOODYPRESIDENT AND DIRECTOR5862754

Disclosures

Regulatory Event3

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

MAN INVESTMENTS INC.

CRD#: 15770New York, NY 10105

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