Robette G. Johns
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.
Robette Gayle Johns, who also goes by Robette G Ehrbar, was a registered financial professional .
Robette is a previously registered financial professional and started their career in finance in 1980. Robette had worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2015 - August 1, 2018
NYLIFE SECURITIES LLC
November 1, 2005 - June 11, 2012
AR ASSET MANAGEMENT, INC.
August 3, 2000 - December 17, 2003
STEPHENS
February 4, 1991 - July 6, 2000
J.C. BRADFORD & CO.
January 4, 1990 - February 13, 1991
FIRST TRYON SECURITIES, LLC
June 30, 1987 - October 30, 1989
HARTFIELD, TITUS & DONNELLY, LLC
March 6, 1986 - May 14, 1987
CHASE SECURITIES, INC.
March 14, 1985 - April 8, 1985
B.O.C.L. SECURITIES CORP.
June 26, 1984 - June 22, 1988
LEHMAN BROTHERS INC.
July 15, 1983 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
May 28, 1981 - June 26, 1983
CITIGROUP GLOBAL MARKETS INC.
July 24, 1980 - September 24, 1981
UBS FINANCIAL SERVICES INC.
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
Current Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
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.
