Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 17, 2018 indicate that New York-based Investment Center broker/adviser Robert Krieger has been sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Krieger (CRD# 2441634).
Robert Krieger has spent 24 years in the securities industry and has been registered with The Investment Center in New York, New York and Roseville, California since 2016. Previous registrations include LPL Financial in New York, New York (2009-2016); Merrill Lynch in Roseville, California (1997-2009); and Franklin/Templeton Distributors in San Mateo, California (1994-1996). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 26, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 26, 1997; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on February 3, 1997; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 22, 1994. He is a registered broker and investment adviser with 17 US states and territories: Arizona, California, Connecticut, Florida, Kentucky, Maryland, Missouri, Nevada, New Jersey, New York, North Carolina, North Dakota, Pennsylvania, South Carolina, Texas, Vermont, and Washington.
According to his BrokerCheck report, he has been discharged from two former employers in connection to alleged rule violations, was recently sanctioned by FINRA, and has received one customer complaint.