Robert J. Deshong
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 Joseph Deshong was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1972. Robert had worked at 10 firms and has passed the Series 63, SIE, Series 5, PC, Series 000, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2002 - December 31, 2014
OPPENHEIMER & CO. INC.
May 31, 2001 - January 2, 2002
JOSEPHTHAL & CO., INC.
September 1, 1997 - August 16, 2000
DB ALEX. BROWN LLC
September 26, 1978 - December 24, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 7, 1977 - September 26, 1978
WHITE, WELD & CO. INCORPORATED
March 8, 1976 - June 4, 1977
SPENCER TRASK & CO. INCORPORATED
May 9, 1974 - March 23, 1976
CITIGROUP GLOBAL MARKETS INC.
July 2, 1973 - May 22, 1974
DUPONT WALSTON, INCORPORATED
October 11, 1972 - July 2, 1973
DUPONT GLORE FORGAN INCORPORATED
October 9, 1972 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
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
Series 5
Date: 1/24/1983
Interest Rate Options ExaminationPC
Date: 11/6/1978
AMEX Put and Call ExamSeries 000
Date: 10/9/1972
General Securities Principal ExaminationSeries 1
Date: 10/9/1972
Registered Representative ExaminationSeries 8
Date: 1/4/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR/DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 39,036 |
| AUM (Assets Under Management) | $ 36,710,705,748 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2026 | ||
| 01/24/2025 | ||
| 10/25/2023 |
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.
