Robert H. Petretta
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 Howard Petretta, who also goes by Bob Petretta, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1975. Robert had worked at 11 firms and has passed the Series 7 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
December 17, 2004 - October 27, 2005
NEW ENGLAND SECURITIES
August 22, 1995 - January 3, 2005
MONY SECURITIES CORPORATION
December 5, 1991 - August 14, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
December 5, 1991 - August 14, 1995
SIGNATOR INVESTORS, INC.
October 31, 1989 - November 12, 1991
GREEN HILL FINANCIAL SERVICE CORPORATION
February 6, 1989 - November 13, 1989
MESA SECURITIES CORPORATION
May 28, 1985 - January 28, 1989
PFG SECURITIES, INC.
March 1, 1983 - June 17, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
July 29, 1980 - January 19, 1984
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
October 13, 1975 - October 7, 1983
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 13, 1975 - October 7, 1983
OSAIC FA, 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
Series 1
Date: 10/6/1975
Registered Representative ExaminationCurrent Firm
NEW ENGLAND SECURITIES
CRD#: 615 / SEC#: 801-47061, 8-13910
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEW ENGLAND LIFE INSURANCE COMPANY ("NELICO" OR "NEW ENGLAND FINANCIAL") | 100% SHAREHOLDER | |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| CRUZ, ORLANDO RAFAEL JR | PRESIDENT AND CHAIRMAN | 2311194 |
| FORGET, ELIZABETH MARY | DIRECTOR AND CHAIRMAN | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| HALPERIN, JEFFREY PAUL | CHIEF COMPLIANCE OFFICER, BROKER-DEALER | 2899327 |
| HONKUS, TINA MARIE | VICE-PRESIDENT, LICENSING AND REGISTRATION | 1288648 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL OPERATIONS PRINCIPAL | 2210722 |
| MINK, DAVID MYERS | CHIEF OPERATIONS OFFICER | 2606831 |
| MURPHY, SEAN ANDREW | VICE-PRESIDENT | 1963911 |
| REYNOLDS, TYLA LYNN | SECRETARY | 6318828 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 10 |
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.
