THE ROBINSON-HUMPHREY COMPANY, LLC ⚠ Disclosure events
⚠ Regulatory disclosure flag: FINRA reports regulatory or customer-dispute disclosure events for this firm. The specific details (regulatory actions, arbitrations, customer complaints, criminal events) live on the canonical BrokerCheck page. This flag is the KYC tripwire that institutional vendors charge for.
Key facts
- FINRA firm ID
- 723
- Firm name
- THE ROBINSON-HUMPHREY COMPANY, LLC
- Other names / DBAs
- CAPITAL MANAGEMENT DIVISION; TRAK FOR MUTUAL FUND AT NET ASSET VALUE; TRAK FOR CONSULTING GROUP CAPITAL MARKETS FUNDS; THE ROBINSON-HUMPHREY COMPANY, LLC; THE ROBINSON-HUMPHREY COMPANY INC.; SSB COLLECTIVE FUNDS ASSET ALLOCATION SERVICE; SMITH BARNEY ASSET MANAGEMENT; SALOMON SMITH BARNEY 401(K) ADVISOR PROGRAM; ROBINSON-HUMPHREY/AMERICAN EXPRESS INC.; ROBINSON-HUMPHREY COMPANY, INC. (THE); PORTFOLIO MANAGEMENT GROUP; PEACHTREE ASSET MANAGEMENT; OFFSHORE TRAK; LINK ADVISORS FOR UPS EMPLOYEES AND RETIREES; INVESTMENT MANAGEMENT SERVICES; INSTITUTIONAL SERVICES; GUIDED PORTFOLIO MANAGEMENT PROGRAM; FIRST MADISON ADVISORS; FIDUCIARY SERVICES - UNAFFILIATED MANAGER PROGRAM; FIDUCIARY SERVICES - AFFILIATED MANAGER PROGRAM; DAVIS SKAGGS INVESTMENT MANAGEMENT; CONSULTING GROUP; CONSULTING AND EVALUATION SERVICES
- IA scope
- —
- SEC BD file
- 8-27190
- Branches
- 0
- Disclosure events
- YES
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