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Robert H. Carey

Some features on this profile are disabled
CRD#: 864386
RC

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 Harder Carey, who also goes by Robert H Carey, Robert Harder Carey Jr, Robert Harder (jr) Carey, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1979. Robert had worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert H Carey | Robert Harder Carey Jr | Robert Harder (jr) Carey

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 14, 2016 - May 2, 2017

ALT FUND DISTRIBUTORS LLC

BD
CRD#: 146547
NEW YORK, NY
Past

November 3, 2015 - April 27, 2016

ACCELERATED CAPITAL GROUP

BD
CRD#: 41270
COSTA MESA, CA
Past

March 11, 2014 - December 10, 2014

CEROS FINANCIAL SERVICES, INC.

BD
CRD#: 37869
ROCKVILLE, MD
Past

February 25, 2003 - March 6, 2014

PROVASI CAPITAL PARTNERS LP

BD
CRD#: 119539
DALLAS, TX
Past

June 22, 1999 - November 15, 2002

VERAVEST INVESTMENTS, INC.

BD
CRD#: 3960
WORCESTER, MA
Past

July 15, 1997 - March 9, 1999

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
JERSEY CITY, NJ
Past

April 5, 1996 - July 15, 1997

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

July 26, 1990 - September 13, 1995

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH
Past

April 28, 1989 - December 7, 1989

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

March 9, 1988 - January 3, 1989

FUNDMARK INVESTMENT COMPANY SERVICES, INC.

BD
CRD#: 13066
Past

January 14, 1983 - January 7, 1986

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Past

March 28, 1982 - October 26, 1982

KEEFE, BRUYETTE & WOODS, INC.

BD
CRD#: 481
Past

April 2, 1979 - June 21, 1982

THOMSON MCKINNON SECURITIES INC.

BD
CRD#: 829

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/4/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/2/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/17/1979
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 1/14/1993
Investment Company Products/Variable Contracts Principal Examination

Current Firm

AF
ALT FUND DISTRIBUTORS LLC
ALT FUND DISTRIBUTORS LLC | CATALYST MUTUALS FUND DISTRIBUTORS LLC | CAPITAL REAL ESTATE SECURITIES, LLC | ASCENT REAL ESTATE SECURITIES, LLC | ASCENT REAL ESTATE SECURITIES LLC

CRD#: 146547 / SEC#: , 8-67829

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Contact information

Main Address
140 East 45th Street Suite 19 B, New York, NY 10017
Mailing Address
140 East 45th Street Suite 19 B, New York, NY 10017
Phone number
(646) 757-8062
Established
Colorado since 12/18/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MFUND DISTRIBUTORS LLCOWNER
MEEHAN, KEVIN PATRICKCCO, FINOP4652695
MILDER, LARRY IRWINCEO1306646

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.

Company Information

ALT FUND DISTRIBUTORS LLC

CRD#: 146547

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