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Detailed Report
ROBERT JAMES CURTISS
ROB CURTISS, ROBERT J CURTISS
CRD#: 2939958
IA
Investment Adviser
B
Broker
SEIACRD#: 108163 155 Lake Ave.
Suite 780
Pasadena, CA 91101
SIGNATURE ESTATE SECURITIES, LLCCRD#: 18923 155 North Lake Avenue
Suite 780
Pasadena, CA 91101
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1998 - 2009 (10 years)2 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - 2013 (4 years)2 FIRMS2013 - 2013 (<1 year)2 FIRMS2013 - 2016 (3 years)IASEIA (CRD# 108163)2016 - Present (8 years)BSIGNATURE ESTATE SECURITIES, LLC (CRD# 18923)2023 - Present (1 year)BOSAIC WEALTH, INC. (CRD# 23131)2018 - 2023 (4 years)BSIGNATOR INVESTORS, INC. (CRD# 468)2016 - 2018 (2 years)BNYLIFE SECURITIES INC. (CRD# 5167)1998 - 1998 (<1 year)
License(s)

State Registrations

IA
California 11/2/2016
B
Utah 8/23/2023
B
California 8/16/2023
B
Washington 8/16/2023
IA
Texas 3/27/2019

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
SEIA (CRD#:108163)
155 Lake Ave. Suite 780, Pasadena, CA 91101
Registered with this firm since 11/2/2016
B
SIGNATURE ESTATE SECURITIES, LLC (CRD#:18923)
155 North Lake Avenue Suite 780, Pasadena, CA 91101
Registered with this firm since 8/16/2023
Previous Registration(s)
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B
 11/02/2018 - 08/23/2023 OSAIC WEALTH, INC. (CRD#:23131) PASADENA, CA
B
 11/01/2016 - 11/02/2018 SIGNATOR INVESTORS, INC. (CRD#:468) PASADENA, CA
IA
 11/25/2013 - 11/02/2016 D.A. DAVIDSON & CO. (CRD#:199) PASADENA, CA
B
 11/25/2013 - 11/02/2016 D.A. DAVIDSON & CO. (CRD#:199) PASADENA, CA
IA
 11/04/2013 - 11/25/2013 CROWELL WEEDON & CO. (CRD#:168622) PASADENA, CA
B
 11/04/2013 - 11/25/2013 CROWELL WEEDON & CO. (CRD#:168622) PASADENA, CA
IA
 05/05/2009 - 11/04/2013 CROWELL, WEEDON & CO. (CRD#:193) PASADENA, CA
B
 05/05/2009 - 11/04/2013 CROWELL, WEEDON & CO. (CRD#:193) PASADENA, CA
IA
 04/22/2009 - 05/05/2009 TRANSAMERICA FINANCIAL ADVISORS, INC. (CRD#:3600) PASADENA, CA
B
 04/17/2009 - 05/05/2009 TRANSAMERICA FINANCIAL ADVISORS, INC. (CRD#:3600) PASADENA, CA
IA
 07/17/1998 - 04/20/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
B
 05/07/1998 - 04/20/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
B
 05/07/1998 - 05/14/1998 NYLIFE SECURITIES INC. (CRD#:5167) NEW YORK, NY
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.