RR
Robert E. Robotti
ROBOTTI SECURITIES
New York, NY 10017
Some features on this profile are disabled
CRD#: 732905
RR
Professional summary
Robert Edward Robotti is a registered financial professional currently at ROBOTTI SECURITIES, LLC located in New York, New York.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1981. Robert has worked at 3 firms and has passed the Series 65, Series 63, Series 57TO, Series 99TO, SIE, Series 86, Series 87, Series 55, Series 7, Series 24 and Series 27 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Robert Edward Robotti'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®
NoneExperience
Current
February 24, 1983 - Present
ROBOTTI SECURITIES, LLC
Office #1: 125 Park Avenue, Suite 1607, New York, NY 10017Office #2: 125 Park Avenue, Suite 1607, New York, NY 10017BD
CRD#: 13251
New York, NY
Past
March 28, 2005 - December 31, 2013
ROBOTTI & COMPANY ADVISORS, LLC
RIA
CRD#: 128093
NEW YORK, NY
Past
June 23, 1981 - March 10, 1983
G.RESEARCH, LLC
BD
CRD#: 7353
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
Arizona(4/1/1997)
RR
California(7/1/1996)
RR
Connecticut(1/9/1984)
RR
District of Columbia(9/5/1997)
RR
Florida(2/1/1990)
RR
Idaho(8/21/1996)
RR
Illinois(4/4/1997)
RR
Indiana(9/17/1997)
RR
Maryland(6/13/1996)
RR
Massachusetts(5/16/1996)
RR
New Jersey(3/28/1985)
RR
New York(6/6/1984)
RR
North Carolina(9/2/2003)
RR
Oregon(1/17/2002)
RR
Pennsylvania(6/7/1984)
RR
South Carolina(5/22/1996)
RR
Texas(3/22/1996)
RR
Utah(12/16/1996)
RR
Virginia(3/27/1997)
RR
Wyoming(9/14/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/18/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
RS
ROBOTTI SECURITIES, LLC
ROBOTTI & COMPANY, INCORPORATED | ROBOTTI SECURITIES, LLC | ROBOTTI & ENG, INCORPORATED | ROBOTTI & ENG, INC. | ROBOTTI & COMPANY, LLC
CRD#: 13251 / SEC#: , 8-28886
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
125 Park Avenue, Suite 1607, New York, NY 10017
Mailing Address
125 Park Avenue, Suite 1607, New York, NY 10017
Phone number
(212) 986-4800
Established
New York since 03/07/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (32 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBOTTI & COMPANY, INCORPORATED | STOCKHOLDER 100% OWNER OF APPLICANT | |
| KELLEHER, DENNIS MICHAEL | CHIEF COMPLIANCE OFFICER | 2107342 |
| MCQUEENEY, DAVID VINCENT | SROP, ROP | 2440806 |
| MEVORAH, ERWIN I | CFO, FIN/OP & SECRETARY | 1944735 |
| ROBOTTI, ROBERT EDWARD | PRESIDENT, CEO, GSP, TREASURER | 732905 |
| ROBOTTI, SUZANNE BENSON | DIRECTOR | 4616454 |
| SEKLIR, NANCY ELIZABETH | DIRECTOR | 1756843 |
| WASIAK, KENNETH RONALD | DIRECTOR | 1485703 |
Disclosures
| Regulatory Event | 2 |
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.
