Robert J. Kramer
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 Joseph Kramer was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1977. Robert had worked at 10 firms and has passed the Series 63, SIE, Series 41, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2006 - January 27, 2021
TOCQUEVILLE SECURITIES L.P.
July 30, 1999 - January 6, 2006
ADIRONDACK CAPITAL PARTNERS, INC.
August 12, 1993 - June 23, 1999
TRAUTMAN WASSERMAN & COMPANY, INC.
March 24, 1993 - August 24, 1993
INVESTORS ASSOCIATES, INC.
March 13, 1989 - April 18, 1991
GILFORD SECURITIES INCORPORATED
January 26, 1989 - February 6, 1989
THE STAMFORD COMPANY, INC.
June 7, 1984 - January 26, 1989
STAMFORD CAPITAL, STERLING GRACE & CO., INC.
August 14, 1978 - June 1, 1984
PRESCOTT, BALL & TURBEN, INC.
April 17, 1978 - August 14, 1978
PRESCOTT, BALL & TURBEN
October 3, 1977 - May 3, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 41
Date: 3/16/1985
NYSE Allied Member ExaminationCurrent Firm
TOCQUEVILLE SECURITIES L.P.
CRD#: 26001 / SEC#: , 8-42223
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOCQUEVILLE ASSET MANAGEMENT L.P. | LIMITED PARTNER | |
| CHUN, YUEN NA | FINOP | 2219603 |
| GRAHAM, KELSEY DUBOIS III | CHIEF COMPLIANCE OFFICER | 5976494 |
| KLEINSCHMIDT, ROBERT WILLIAM | CEO & GSP | 855215 |
| SCHLESINGER, SCOTT IRA | PRESIDENT, CHIEF OPERATING OFFICER & GSP | 1252675 |
| TOCQUEVILLE MANAGEMENT CORPORATION | GENERAL PARTNER |
Disclosures
| Regulatory Event | 4 |
Red Flags
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