Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 25, 2017 indicate that California-based Cabot Lodge Securities broker/adviser Robert Tweed has been named in pending complaints by FINRA and the Securities and Exchange Commission. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Tweed (CRD# 2339324).
Robert Tweed has spent 24 years in the securities industry and has been registered with Cabot Lodge Securities in San Marino, California since 2015. Previous registrations include Capwest Securities in San Marino, California (2011); MAM Securities in Sherman Oaks, California (2010-2011); Capwest Securities in San Marino, California (2007-2010); United Securities Alliance in San Marino, California (2005-2007); National Planning Corporation in El Segundo, California (1999-2005); Intersecurities in St. Petersburg, Florida (1997-1999); Laguna Securities in Newport Beach, California (1995-1997); Wealth Resource Capital Corporation in Newport Beach, California (1994-1995); and Securities America in La Vista, Nebraska (1993-1994). He has passed five securities industry examinations: Series 6 (Uniform Investment Adviser Law Examination), which he obtained on May 29, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 18, 1993; Series 31 (Futures Managed Funds Examination), which he obtained on December 12, 2002; Series 7 (General Securities Representative Examination), which he obtained on May 11, 1993; and Series 24 (General Securities Principal Examination), which he obtained on January 28, 1999. He is a registered broker and investment adviser with eleven US states and territories: California, Georgia, Illinois, Louisiana, Michigan, New Mexico, New York, Pennsylvania, South Carolina, Texas and Washington.
According to his BrokerCheck report, he has received five customer complaints, two pending customer complaints, one pending FINRA complaint, and one pending SEC complaint.