Robert B. Diamond

JOSEPH GUNNAR & CO. LLC

UNIONDALE, NY 11556

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CRD#: 847258

Professional summary

Robert Bruce Diamond, who also goes by Bob Diamond, is a registered financial professional currently at JOSEPH GUNNAR & CO. LLC located in Uniondale, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1978. Robert has worked at 18 firms and has passed the Series 63, SIE, Series 5, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bob Diamond

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Bruce Diamond's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 26, 2019 - Present

JOSEPH GUNNAR & CO. LLC

Office #1: 1000 Rxr Plaza East Tower, Uniondale, NY 11556

RIA

CRD#: 24795

UNIONDALE, NY

Past

October 15, 2012 - January 10, 2020

NOBLE CAPITAL MARKETS, INC.

CRD#: 15768

BOCA RATON, FL

Past

October 8, 2010 - October 19, 2012

BUCKMAN, BUCKMAN & REID, INC.

CRD#: 23407

BOCA RATON, FL

Past

January 27, 2004 - October 12, 2010

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

BOCA RATON, FL

Past

March 21, 2001 - January 22, 2004

CAPITAL GROWTH FINANCIAL, LLC

CRD#: 41040

BOCA RATON, FL

Past

December 4, 2000 - July 6, 2001

DALTON KENT SECURITIES GROUP, INC.

CRD#: 38813

NEW YORK, NY

Past

March 1, 2000 - November 9, 2000

MARKET WISE SECURITIES, LLC

CRD#: 45269

CHICAGO, IL

Past

July 7, 1997 - March 14, 2000

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

August 29, 1996 - July 1, 1997

MESIROW FINANCIAL, INC.

CRD#: 2764

CHICAGO, IL

Past

January 3, 1994 - September 18, 1996

JWGENESIS SECURITIES, INC.

CRD#: 33832

BOCA RATON, FL

Past

January 18, 1993 - January 3, 1994

JW GENESIS CLEARING CORP.

CRD#: 6631

BOCA RATON, FL

Past

November 21, 1989 - December 23, 1992

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

October 31, 1989 - January 11, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

February 8, 1989 - November 7, 1989

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

March 26, 1985 - March 4, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

August 12, 1983 - April 8, 1985

CRALIN & CO., INC.

CRD#: 7605

Past

September 17, 1981 - August 29, 1983

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

January 3, 1978 - October 13, 1981

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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".

JOSEPH GUNNAR & CO. LLC

AMERICAN PRIDE WEALTH MANAGEMENT GROUP | LELLOS WEALTH MANAGEMENT | JOSEPH GUNNAR & CO., LLC | JOSEPH GUNNAR & CO. LLC | EAST END SECURITIES, INC.

CRD#: 24795 / SEC#: 801-121064, 8-41386

RIA

Registered Investment Advisory firm - SEC (5/4/2021 Approved)

California

Registered Investment Advisory firm - SEC (8/5/2021 Terminated)

District of Columbia

Registered Investment Advisory firm - SEC (5/7/2021 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (5/10/2021 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (6/22/2021 Terminated)

New York

Registered Investment Advisory firm - SEC (5/7/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (5/20/2021 Terminated)

Texas

Registered Investment Advisory firm - SEC (5/7/2021 Terminated)

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(9/4/2020)

Florida
(12/26/2019)

Georgia
(12/26/2019)

New Hampshire
(9/6/2022)

New York
(12/26/2019)

Ohio
(6/30/2023)

Pennsylvania
(9/28/2022)

Wisconsin
(2/8/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/12/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 10/23/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 12/17/1977

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/25/1994

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

JOSEPH GUNNAR & CO. LLC

AMERICAN PRIDE WEALTH MANAGEMENT GROUP | LELLOS WEALTH MANAGEMENT | JOSEPH GUNNAR & CO., LLC | JOSEPH GUNNAR & CO. LLC | EAST END SECURITIES, INC.

CRD#: 24795 / SEC#: 801-121064, 8-41386

RIA

Registered Investment Advisory firm - SEC (5/4/2021 Approved)

California

Registered Investment Advisory firm - SEC (8/5/2021 Terminated)

District of Columbia

Registered Investment Advisory firm - SEC (5/7/2021 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (5/10/2021 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (6/22/2021 Terminated)

New York

Registered Investment Advisory firm - SEC (5/7/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (5/20/2021 Terminated)

Texas

Registered Investment Advisory firm - SEC (5/7/2021 Terminated)

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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Contact information

Main Address

1000 Rxr Plaza 10th Floor, Uniondale, NY 11556

Mailing Address

1000 Rxr Plaza, Uniondale, NY 11556

Phone number

(212) 440-9600

Established

Delaware since 08/07/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (9 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

JOSEPH GUNNAR & CO., LLC ADV BROCHURE (4/23/2025)

JOSEPH GUNNAR WRAP FEE PROGRAM BROCHURE (4/23/2025)

Direct owners and executive officers

Name	Position	CRD#
JOSEPH GUNNAR HOLDING CO., LLC.	OWNER
ALAGNA, JOSEPH ANTHONY JR	CHAIRMAN, CEO	1840339
COLOMBO, DOUGLAS	PRINCIPAL OPERATIONS OFFICER	1858351
HODGE, WILLIAM PAUL	CHIEF COMPLIANCE OFFICER / AMLCO	1950852
SINGER, STEVEN FREDERIC	FINOP	2360737
STEIN, STEPHAN A	PRESIDENT	3238494

Regulatory assets under management

Total Number of Accounts	68
AUM (Assets Under Management)	$ 33,967,899

Disclosures

Regulatory Event	5
Arbitration	13

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.

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Advisor Monitoring

Firm Stability Insights

Robert B. Diamond

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Bruce Diamond's CRS (Customer Relationship Summary).

Certified licenses

Experience

NOBLE CAPITAL MARKETS, INC.

BUCKMAN, BUCKMAN & REID, INC.

NEWBRIDGE SECURITIES CORPORATION

CAPITAL GROWTH FINANCIAL, LLC

DALTON KENT SECURITIES GROUP, INC.

MARKET WISE SECURITIES, LLC

LADENBURG THALMANN & CO. INC.

MESIROW FINANCIAL, INC.

JWGENESIS SECURITIES, INC.

JW GENESIS CLEARING CORP.

RAYMOND JAMES & ASSOCIATES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

KIDDER, PEABODY & CO. INCORPORATED

DREXEL BURNHAM LAMBERT INCORPORATED

CRALIN & CO., INC.

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

JOSEPH GUNNAR & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/12/1983

SIE

Date: 10/1/2018

Series 5

Date: 10/23/1981

Series 7

Date: 12/17/1977

Series 24

Date: 7/25/1994

FINRA

Nasdaq Stock Market

Current Firm

JOSEPH GUNNAR & CO. LLC

Contact information

SEC notice filing (9 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

JOSEPH GUNNAR & CO. LLC

TRUST BUT VERIFY

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