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Robert Herbert McCooey

Nasdaq Execution Services, LLC

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About Robert Herbert McCooey

Robert McCooey is a financial professional with over 30 years of experience in the industry. Robert is currently registered with Nasdaq Execution Services, LLC and holds a Series 7, Series 10, Series 24, and Series 63 license. Robert has previously been associated with The Griswold Company, Incorporated. Robert is also a Series 99 Operations Professional.

Firm Information

Robert McCooey is currently registered with Nasdaq Execution Services, LLC. Nasdaq Execution Services, LLC is a Limited Liability Company formed in November 1997. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico and the District of Columbia. The firm has 10 regulatory events on file.

Not reported

Assets Under Management

Not reported

Total Clients

36

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Robert McCooey’s Registration & Firm History

PA

12/15/2006 - Present

Nasdaq Execution Services, LLC (PHILADELPHIA PA)

NY

03/17/1988 - 11/30/2006

THE GRISWOLD COMPANY, INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/17/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 11/01/2000

Series 24 - General Securities Principal Examination

BC

Issued 01/04/1995

Series 12 - NYSE Branch Manager Examination

BC

Issued 01/02/2023

Series 7TO - General Securities Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/20/1989

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There is public disclosure for Robert Herbert McCooey. Review regulatory record here.
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