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Robert Joseph Albano

CRD# 875912·Registered 1976 - 2012
Previously Registered: Being a previously registered professional could mean that Robert 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.

Professional Summary

Robert Joseph Albano, who also goes by Robert J Albano, was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1976 - 2012. Robert had worked at 16 firms and has passed the Series 5, Series 7, Series 14, Series 4 and Series 12 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Robert J Albano

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

54 years in the financial services industry

Current & Past Employments

JEFFERIES HIGH YIELD TRADING, LLC·CRD# 47363
BD
Stamford, CT
November 30, 2011 - April 3, 2012
JEFFERIES BACHE SECURITIES, LLC·CRD# 127733
BD
New York, NY
July 14, 2011 - November 23, 2011
JEFFERIES PARTNERS OPPORTUNITY FUND, LLC·CRD# 46504
BD
Stamford, CT
January 4, 2005 - January 31, 2007
JEFFERIES PARTNERS OPPORTUNITY FUND V, LLC·CRD# 110683
BD
Stamford, CT
January 4, 2005 - January 31, 2007
MEREDITH WHITNEY SECURITIES, LLC·CRD# 110665
BD
New York, NY
January 4, 2005 - January 31, 2007
JEFFERIES PARTNERS OPPORTUNITY FUND III, LLC·CRD# 110647
BD
Stamford, CT
January 4, 2005 - January 31, 2007
JEFFERIES HIGH YIELD TRADING, LLC·CRD# 47363
BD
Stamford, CT
January 4, 2005 - January 31, 2007
JEFFERIES EMPLOYEES OPPORTUNITY FUND, LLC·CRD# 103816
BD
Stamford, CT
January 4, 2005 - January 31, 2007
GRIFFIN TRADING SPECIALISTS LLC·CRD# 115152
BD
Stamford, CT
January 4, 2005 - January 31, 2007
JEFFERIES EXECUTION SERVICES, INC.·CRD# 867
BD
New York, NY
January 4, 2005 - April 3, 2012
JEFFERIES LLC·CRD# 2347
BD
New York, NY
January 4, 2005 - April 3, 2012
HERZOG, HEINE, GEDULD, LLC·CRD# 2186
BD
New York, NY
October 10, 2003 - May 6, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
March 16, 2001 - February 20, 2004
PERSHING LLC·CRD# 7560
BD
Jersey City, NJ
April 7, 1982 - October 26, 2000
LEHMAN BROTHERS KUHN LOEB INCORPORATED·CRD# 7555
BD
February 1, 1979 - March 30, 1982
F. L. PUTNAM & COMPANY, INC.·CRD# 274
BD
November 1, 1978 - January 9, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
September 12, 1978 - December 3, 1978
WHITE, WELD & CO. INCORPORATED·CRD# 6802
BD
September 10, 1976 - September 26, 1978

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Current Firm

JH
JEFFERIES HIGH YIELD TRADING, LLC

JEFFERIES EMPLOYEES OPPORTUNITY FUND, LLC | JEFFERIES PARTNERS OPPORTUNITY FUND II, LLC | JEFFERIES HIGH YIELD TRADING, LLC

CRD#: 47363 / SEC#: 8-51771
BD
Terminated by SEC on 06/01/2013

Contact Information

Established

Delaware since 03/30/1999

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
JEFFERIES HIGH YIELD HOLDINGMEMBER—
HANDLER, RICHARD BRIANCEO, PRESIDENT AND COO1563245
HARTEVELDT, ROBERT LONDONPRESIDENT1831652
SCORAN, LAURI ACHIEF COMPLIANCE OFFICER2060170
WELCH, ROBERT JOSEPHCHIEF FINANCIAL OFFICER AND SECRETARY2442679

Disclosures

Regulatory Event

2

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 5 — Interest Rate Options Examination

Passed Oct 1981

Series 7 — General Securities Representative Examination

Passed Oct 1978About the Series 7 exam

Series 14 — Compliance Officer Examination

Passed Nov 1989About the Series 14 exam

Series 4 — Registered Options Principal Examination

Passed Sep 1977About the Series 4 exam

Series 12 — NYSE Branch Manager Examination

Passed Jun 1972

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CRS (Client Relationship Summary)

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

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