BS
Bob R. Sunness
SEARLE & CO.
Greenwich, CT 06830
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CRD#: 834409
BS
Professional summary
Bob Robert Sunness is a registered financial advisor currently at SEARLE & CO. located in Greenwich, Connecticut.
Bob is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Bob has worked at 3 firms and has passed the Series 65, Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
PIX LLC PERSONAL HOLDING LLC, INVESTMENT RELATED 1 HOUR MONTHLY,THIIK, LLC. NOT INVESTMENT RELATED.10 DEERFIELD LANE, SCARSDALE, NY 10583. SALE OF HATS. MANAGING MEMBER. APRIL 2015. 1 HOUR PER MONTH.1 HOUR PER MONTH DURING SECURITIES TRADING HOURS. MANAGE BUSINESS CHECKING ACCOUNT.
CRS (Client Relationship Summary) - RIA
Click below to view Bob Robert Sunness's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Bob Robert Sunness'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
January 14, 2008 - Present
SEARLE & CO.
Office #1: 333 Greenwich Ave, Greenwich, CT 06830RIA
BD
CRD#: 13035
Greenwich, CT
Current
January 14, 1999 - Present
SEARLE & CO.
Office #1: 333 Greenwich Ave, Greenwich, CT 06830RIA
BD
CRD#: 13035
Greenwich, CT
Past
February 24, 1988 - June 26, 1998
NATWEST MARKETS SECURITIES INC.
BD
CRD#: 11707
STAMFORD, CT
Past
March 1, 1977 - November 24, 1987
SALOMON BROTHERS INC.
BD
CRD#: 740
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
S&
SEARLE & CO.
SEARLE & CO.
CRD#: 13035 / SEC#: 801-68574, 8-28600
RIA
Registered Investment Advisory firm - SEC (11/30/2007 Approved)Connecticut
Registered Investment Advisory firm - SEC (12/5/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
California(2/2/2010)
RR
Colorado(2/5/2010)
RR
Connecticut(1/14/1999)
IAR
Connecticut(1/14/2008)
RR
Florida(2/2/2010)
IAR
Florida(6/7/2021)
RR
Illinois(2/2/2010)
RR
New York(1/14/1999)
IAR
New York(6/11/2021)
RR
Texas(9/10/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
S&
SEARLE & CO.
SEARLE & CO.
CRD#: 13035 / SEC#: 801-68574, 8-28600
RIA
Registered Investment Advisory firm - SEC (11/30/2007 Approved)Connecticut
Registered Investment Advisory firm - SEC (12/5/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
333 Greenwich Ave., Greenwich, CT 06830
Mailing Address
333 Greenwich Ave., Greenwich, CT 06830
Phone number
(203) 869-4800
Established
Connecticut since 11/22/1982
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
11
SEC notice filing (9 States and Territories)
FINRA licenses (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 129 |
| AUM (Assets Under Management) | $ 648,957,944 |
Disclosures
| Regulatory Event | 4 |
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.
