Robert J. Adler
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 John Adler, who also goes by Robert J Adler, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1979. Robert had worked at 11 firms and has passed the Series 66, Series 63, 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
June 26, 2012 - December 31, 2019
THOMAS J. HERZFELD ADVISORS, INC.
September 20, 2005 - January 17, 2006
XTF ADVISORS LLC
June 18, 2004 - January 17, 2006
WYNSTON HILL CAPITAL, LLC
February 26, 2003 - April 15, 2004
AMSTAR DISTRIBUTORS, INC.
November 7, 2002 - March 18, 2003
ULTIMUS FUND DISTRIBUTORS, LLC
February 16, 2000 - December 31, 2000
VOYA FINANCIAL ADVISORS, INC.
November 16, 1999 - February 11, 2000
VOYA INVESTMENTS DISTRIBUTOR, LLC
January 1, 1994 - November 16, 1999
NORTHSTAR DISTRIBUTORS, INC.
January 1, 1991 - September 21, 1993
NSR DISTRIBUTORS, INC.
April 15, 1982 - July 30, 1990
LEHMAN BROTHERS INC.
February 26, 1979 - March 3, 1982
PRESCOTT, BALL & TURBEN, INC.
Primary Firm SEC Registration
THOMAS J. HERZFELD ADVISORS, INC.
CRD#: 108369 / SEC#: 801-20866
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
Current Firm
THOMAS J. HERZFELD ADVISORS, INC.
CRD#: 108369 / SEC#: 801-20866
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 294 |
| AUM (Assets Under Management) | $ 847,596,732 |
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.
