Robert S. Brough

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CRD#: 6140868

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 Scott Brough, who also goes by Bob Brough, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 2013. Robert had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bob Brough

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

March 17, 2015 - July 6, 2022

CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.

CRD#: 7449

VANCOUVER,

Past

May 1, 2013 - August 25, 2014

RAYMOND JAMES (USA) LTD.

RIA

CRD#: 25853

WEST VANCOUVER, BRITISH COLUMBIA,

Past

March 1, 2013 - August 25, 2014

RAYMOND JAMES (USA) LTD.

CRD#: 25853

WEST VANCOUVER, BRITISH COLUMBIA,

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.

CRD#: 7449 / SEC#: 801-106809, 8-21025

RIA

Registered Investment Advisory firm - SEC (11/2/2015 Approved)

Alaska

Registered Investment Advisory firm - SEC (3/22/2021 Terminated)

Maryland

Registered Investment Advisory firm - SEC (2/8/2021 Terminated)

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

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/25/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/27/2013

General Securities Representative Examination

Current Firm

CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.

CRD#: 7449 / SEC#: 801-106809, 8-21025

RIA

Registered Investment Advisory firm - SEC (11/2/2015 Approved)

Alaska

Registered Investment Advisory firm - SEC (3/22/2021 Terminated)

Maryland

Registered Investment Advisory firm - SEC (2/8/2021 Terminated)

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

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Contact information

Main Address

1133 Melville Street Suite 1100, Vancouver, Bc, V6E 4E5

Mailing Address

Pmb 2300 250 H Street, Blaine, WA 98230-4018

Phone number

(604) 643-7300

Established

Minnesota since 07/06/1976

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

SEC notice filing (12 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC. (6/30/2025)

Direct owners and executive officers

Name	Position	CRD#
CANACCORD ADAMS FINANCIAL GROUP INC.	EQUITY OWNER
BEGIS, SELIM	INTERIM CHIEF COMPLIANCE OFFICER	2760484
COX, THOMAS WILLIAM JR	PRESIDENT	2744412
MACFAYDEN, DONALD DUNCAN	OPERATIONS PRINCIPAL	5390198
MACFAYDEN, DONALD DUNCAN	CFO, FINANCIAL PRINCIPAL	5390198

Regulatory assets under management

Total Number of Accounts	94
AUM (Assets Under Management)	$ 101,217,366

Disclosures

Regulatory Event	13
Arbitration	5

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.

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Firm Stability Insights

Robert S. Brough

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES (USA) LTD.

RAYMOND JAMES (USA) LTD.

Primary Firm SEC Registration

CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/25/2013

SIE

Date: 10/1/2018

Series 7

Date: 2/27/2013

Current Firm

CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.

Contact information

SEC notice filing (12 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.

TRUST BUT VERIFY

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