Robert E. Edelstein
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 Edwin Edelstein, who also goes by Robert E Edelstein, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1973. Robert had worked at 7 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 1994 - February 6, 1997
HD BROUS & CO., INC.
July 2, 1987 - October 22, 1993
GRUNTAL & CO., L.L.C.
August 25, 1986 - February 13, 1987
ROONEY, PACE INC.
January 29, 1986 - August 26, 1986
BROADCHILD SECURITIES CORP.
September 8, 1980 - July 10, 1985
ROONEY, PACE INC.
June 22, 1977 - January 18, 1980
FITTIN, CUNNINGHAM & LAUZON, INC.
December 4, 1974 - July 2, 1977
OLD COURT SECURITIES INC.
September 12, 1973 - July 4, 1974
CROSSGATE SECURITIES, 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
PC
Date: 10/3/1979
AMEX Put and Call ExamSeries 1
Date: 12/21/1972
Registered Representative ExaminationCurrent Firm
HD BROUS & CO., INC.
CRD#: 22062 / SEC#: , 8-39382
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROUS, ELLEN | SECRETARY | 2375949 |
| BROUS, HOWARD DAVID | CHAIRMAN OF THE BOARD | 31868 |
| BROUS, ROBERT JASON | CHIEF EXECUTIVE OFFICER | 2999689 |
| DILLON, JOHN JOSEPH | DIRECTOR OF COMPLIANCE, CHIEF COMPLIANCE OFFICER | 4470999 |
| GREEN, RUSSELL PAUL | CROP & SROP | 1391627 |
| REINKRAUT, BARRY A | FINOP | 1696327 |
| SINE, BARRY MICHAEL | SUPERVISORY ANALYST | 2155603 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 1 |
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.
