Robert J. Szigeti

SG SECURITIES

Princeton, NJ 08540

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CRD#: 6654171

Professional summary

Robert Joseph Szigeti III, who also goes by Robert Szigeti, is a registered financial advisor currently at SG SECURITIES, LLC located in Princeton, New Jersey.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Robert has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Robert Szigeti

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.

Name of outside business organization: USA Hockey Investment related: No Address of business: Colorado Springs, CO Position, title, association: Ice Official (Referee) Start date of relationship: 9/1/2010 Number of hours devoted monthly: 10 Number of hours devoted monthly during trading hours:0 Duties: Officiate youth hockey/USA hockey sanctioned games.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Joseph Szigeti III'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

July 24, 2023 - Present

SG SECURITIES, LLC

Office #1: 116 Village Boulevard Suite 200, Princeton, NJ 08540

RIA

CRD#: 181524

Princeton, NJ

Past

June 4, 2020 - March 13, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PENNINGTON, NJ

Past

February 14, 2020 - March 13, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PENNINGTON, NJ

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.

Highlighted states indicate IAR registrations

IAR

New Jersey
(7/24/2023)

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: 6/3/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/14/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/12/2019

Securities Industry Essentials Examination

Current Firm

SG SECURITIES, LLC

SG SECURITIES, LLC | SG WEALTH MANAGEMENT, LLC | SG WEALTH MANAGEMENT

CRD#: 181524 / SEC#:

New Jersey

Registered Investment Advisory firm - (6/24/2015 Approved)

New York

Registered Investment Advisory firm - (12/31/2018 Terminated)

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).

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Contact information

Main Address

116 Village Boulevard Suite 200, Princeton, NJ 08540

Mailing Address

Phone number

(609) 309-5533

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	86
AUM (Assets Under Management)	$ 16,250,000

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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Robert J. Szigeti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Joseph Szigeti III's CRS (Customer Relationship Summary).

Certified licenses

Experience

SG SECURITIES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 6/3/2020

Series 7TO

Date: 2/14/2020

SIE

Date: 12/12/2019

Current Firm

SG SECURITIES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SG SECURITIES, LLC

TRUST BUT VERIFY

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