Robert S. Walterman
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 Steven Walterman, who also goes by Bob Walterman, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1975. Robert had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 15, PC, Series 7, Series 24, Series 4 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
February 1, 2019 - June 11, 2020
XML FINANCIAL GROUP
January 5, 2010 - February 1, 2019
XML SECURITIES
January 5, 2010 - June 11, 2020
XML SECURITIES
January 8, 2004 - January 4, 2010
PURSHE KAPLAN STERLING INVESTMENTS
October 28, 2003 - December 31, 2009
WALTERMAN FINANCIAL MANAGEMENT, LLC
November 6, 2002 - January 28, 2004
OPPENHEIMER ASSET MANAGEMENT
March 22, 2002 - January 5, 2004
OPPENHEIMER & CO. INC.
December 13, 2000 - March 26, 2002
LEHMAN BROTHERS INC.
July 1, 1998 - October 18, 2000
COWEN AND COMPANY
March 28, 1995 - July 1, 1998
FINANCIAL SQUARE PARTNERS
April 2, 1993 - March 31, 1995
CITIGROUP GLOBAL MARKETS INC.
April 4, 1979 - March 29, 1993
PRUDENTIAL EQUITY GROUP, LLC
February 24, 1978 - April 19, 1979
MORGAN STANLEY DW INC.
June 25, 1976 - July 28, 1976
BACHE HALSEY STUART INC.
June 8, 1976 - February 24, 1978
REYNOLDS SECURITIES, INC.
January 24, 1975 - June 25, 1976
BACHE & CO INCORPORATED
Primary Firm SEC Registration
XML FINANCIAL GROUP
CRD#: 284987 / SEC#: 801-108376
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
Series 5
Date: 10/21/1983
Interest Rate Options ExaminationSeries 15
Date: 10/14/1983
Foreign Currency Options ExaminationPC
Date: 4/1/1977
AMEX Put and Call ExamSeries 12
Date: 4/5/1979
NYSE Branch Manager ExaminationCurrent Firm
XML FINANCIAL GROUP
CRD#: 284987 / SEC#: 801-108376
Contact information
SEC notice filing (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,044 |
| AUM (Assets Under Management) | $ 2,993,236,597 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/19/2024 | ||
| 07/19/2023 | ||
| 11/21/2022 |
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.
