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RS

Robert A. Speak

ABG SUNDAL COLLIER
London, EC4M 7EJ
Some features on this profile are disabled
CRD#: 7011221
RS

Professional summary

Robert Anthony Speak, who also goes by Rob Anthony Speak, Robbie Anthony Speak, is a registered financial professional currently at ABG SUNDAL COLLIER INC. .

Robert is registered as a RR (Registered Representative) and started their career in finance in 2018. Robert has worked at 1 firm and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rob Anthony Speak | Robbie Anthony Speak

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) - BD

Click below to view Robert Anthony Speak'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

October 31, 2018 - Present

ABG SUNDAL COLLIER INC.

Office #1: St Martin`s Court 5th Floor 10 Paternoster Row, London, EC4M 7EJ
BD
CRD#: 30605
London,

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(10/4/2019)
RR
Florida
(10/4/2019)
RR
Massachusetts
(10/4/2019)
RR
New York
(2/26/2019)
RR
South Carolina
(10/4/2019)
RR
Texas
(10/4/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 2/26/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/31/2018
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/20/2020
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ABG SUNDAL COLLIER INC.
ABG SECURITIES, INC. | FINANSHUSET (USA) SECURITIES, INC. | FIBA NORDIC SECURITIES, INC. | ABG SUNDAL COLLIER INC.

CRD#: 30605 / SEC#: , 8-44768

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
112 West 34th Street Suite 18027, New York, NY 10120
Mailing Address
112 West 34th Street Suite 18027, New York, NY 10120
Phone number
(212) 605-3800
Established
Delaware since 08/09/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ABG SUNDAL COLLIER HOLDINGS INC,OWNER
CEDERHOLM, OLOF MARTINBOARD MEMBER5974756
SIMONSEN, NORA WINGEPRESIDENT, CEO, CFO, TREASURER, CCO, COO3215030
SPEAK, ROBERT ANTHONYEQUITY SALES TRADER / VP / SECRETARY7011221

Disclosures

Regulatory Event1

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.

Company Information

ABG SUNDAL COLLIER INC.

CRD#: 30605London, EC4M 7EJ

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