RC
Robert S. Crotty
CENTRAL STATES CAPITAL MARKETS
Columbus, OH 43215
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CRD#: 6224640
RC
Professional summary
Robert Sean Crotty is a registered financial advisor currently at CENTRAL STATES CAPITAL MARKETS, LLC located in Columbus, Ohio.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Robert has worked at 4 firms and has passed the Series 66, Series 82TO, SIE, Series 50, Series 72, Series 7, Series 52, Series 79, Series 54, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
MANAGING MEMBER OF RMC HOMES LLC - REAL ESTATE/RENTAL PROPERTY OWNERSHIP, START DATE: AUGUST 2019, NOT INVESTMENT RELATED, DEVOTE 2 HOURS/MONTH DURING NON-TRADING HOURS, DUTIES INCLUDE LANDLORD ACTIVITIES, LEASES, REPAIRS, CLEANING ETC. MANAGING MEMBER OF RMC HOMES I LLC, RMC HOMES II LLC, RMC HOMES III LLC, RMC HOMES IV LLC, RMC HOMES V LLC, RMC HOMES VI LLC, RMC HOMES VII LLC and RMC HOMES VIII LLC - REAL ESTATE/RENTAL PROPERTY OWNERSHIP, NOT INVESTMENT RELATED, PASS-THROUGH ENTITIES OWNED BY RMC HOMES LLC.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Sean Crotty's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Sean Crotty'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®
NoneExperience
Current
April 2, 2025 - Present
CENTRAL STATES CAPITAL MARKETS, LLC
Office #1: 471 E Broad Street Suite 905, Columbus, OH 43215RIA
BD
CRD#: 155291
Columbus, OH
Current
March 12, 2024 - Present
CENTRAL STATES CAPITAL MARKETS, LLC
Office #1: 471 E Broad Street Suite 905, Columbus, OH 43215RIA
BD
CRD#: 155291
Columbus, OH
Past
July 12, 2022 - March 13, 2024
CALDWELL SUTTER CAPITAL, INC.
RIA
CRD#: 10489
Columbus, OH
Past
July 7, 2022 - March 13, 2024
CALDWELL SUTTER CAPITAL, INC.
BD
CRD#: 10489
Columbus, OH
Past
September 3, 2015 - July 6, 2022
BOENNING & SCATTERGOOD, INC.
RIA
CRD#: 100
Columbus, OH
Past
July 10, 2015 - July 6, 2022
BOENNING & SCATTERGOOD, INC.
BD
CRD#: 100
Columbus, OH
Past
September 20, 2013 - September 29, 2014
LANCASTER POLLARD & CO., LLC
BD
CRD#: 24110
COLUMBUS, OH
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(3/12/2024)
RR
Florida(3/12/2024)
RR
Georgia(3/12/2024)
IAR
Kansas(4/2/2025)
RR
Louisiana(10/21/2025)
RR
New York(2/3/2025)
RR
Ohio(3/12/2024)
RR
Texas(3/12/2024)
RR
Wisconsin(3/18/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 72
Date: 8/29/2016
Government Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CENTRAL STATES CAPITAL MARKETS, LLC
CENTRAL STATES CAPITAL MARKETS, LLC
CRD#: 155291 / SEC#: 801-79295, 8-68711
RIA
Registered Investment Advisory firm - SEC (1/3/2017 Terminated)Iowa
Registered Investment Advisory firm - SEC (1/23/2018 Approved)Kansas
Registered Investment Advisory firm - SEC (10/12/2016 Approved)Missouri
Registered Investment Advisory firm - SEC (12/29/2016 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
4200 W 83rd Street Suite 101, Prairie Village, KS 66208
Mailing Address
4200 W 83rd Street Suite 101, Prairie Village, KS 66208
Phone number
(913) 766-6565
Established
Kansas since 08/31/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
4
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLASSEN, MARK K | MEMBER | 6886821 |
| CENTRAL STATES FINANCIAL SERVICES, LLC | HOLDING COMPANY; MEMBER | |
| YOUNG, ROBERT MORRIS JR | CHAIRMAN & CCO | 501297 |
| ADDISON, LAURIE ANNE | CHIEF FINANCIAL OFFICER & FINOP | 7488882 |
| HORTON, MICHAEL ALAN | DIRECTOR, BRANCH MANAGER | 1041106 |
| STEPP, JOHN DANIEL | MANAGING DIRECTOR, CEO; ELECTED MANAGER | 501417 |
Regulatory assets under management
| Total Number of Accounts | 38 |
| AUM (Assets Under Management) | $ 27,936,117 |
Disclosures
| Regulatory Event | 6 |
| Criminal | 3 |
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.
