Robert C. Torcivia
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 Charles Torcivia was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1974. Robert had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 3, PC, Series 000, Series 1, Series 4, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2015 - September 11, 2018
MOORS & CABOT, INC.
March 3, 2015 - September 11, 2018
MOORS & CABOT, INC.
October 9, 2012 - March 6, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
September 24, 2010 - December 31, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
September 24, 2010 - March 6, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
April 21, 2006 - September 27, 2010
WELLS FARGO CLEARING SERVICES, LLC
May 14, 2004 - September 27, 2010
WELLS FARGO CLEARING SERVICES, LLC
January 14, 2000 - May 20, 2004
PIPER SANDLER & CO.
July 20, 1994 - January 28, 2000
UBS FINANCIAL SERVICES INC.
February 9, 1988 - July 12, 1994
MORGAN STANLEY DW INC.
June 12, 1984 - March 4, 1988
E. F. HUTTON & COMPANY INC
December 16, 1981 - June 18, 1984
BOETTCHER & COMPANY, INC.
September 24, 1979 - January 3, 1982
WEDBUSH SECURITIES INC.
November 22, 1977 - September 24, 1979
LEHMAN BROTHERS INC.
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
February 26, 1975 - November 17, 1976
SHEARSON HAYDEN STONE INC.
October 2, 1974 - May 7, 1975
THE VARIABLE ANNUITY MARKETING COMPANY
May 29, 1974 - October 13, 1974
SHEARSON, HAMMILL & CO., INCORPORATED
Primary Firm SEC Registration
MOORS & CABOT, INC.
CRD#: 594 / SEC#: 801-48726, 8-23060
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
PC
Date: 5/19/1977
AMEX Put and Call ExamSeries 000
Date: 5/23/1974
General Securities Principal ExaminationSeries 1
Date: 5/23/1974
Registered Representative ExaminationSeries 12
Date: 5/23/1974
NYSE Branch Manager ExaminationCurrent Firm
MOORS & CABOT, INC.
CRD#: 594 / SEC#: 801-48726, 8-23060
Contact information
SEC notice filing (35 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EIGHTEEN NINETY PARTNERS, LLC | SHAREHOLDER | |
| BRAUN, MICHAEL CHARLES | EVP/COO/DIRECTOR | 2005370 |
| CUETARA, JOSEPH PHILIP | SVP FIXED INCOME/MUNICIPAL PRINCIPAL | 58308 |
| GARRETT, MARK DAVID | DIRECTOR/CO-CHAIRMAN/TRUSTEE | 5563014 |
| HILDRETH, MICHAEL CHRISTOPHER | EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR | 2386839 |
| JOYCE, DANIEL MICHAEL | DIRECTOR | 1060819 |
| KELLIHER, KATHERINE ROSE | SVP & CHIEF COMPLIANCE OFFICER | 4146307 |
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 3,437,764,388 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/04/2023 | ||
| 01/12/2023 |
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.
