• F. Robert (Bob) Falkenberg

    Vice President, Dallas

 

Certifications / Degrees / Awards

  • General Securities Principal
  • General Securities Representative
  • Municipal Advisor Representative
  • Municipal Securities Principal
  • Uniform State Agent and Advisor
  • B. Sc., San Diego State University

 

Mr. Falkenberg joined the Firm in November 2015 and serves in the Compliance and Operations Department of Estrada Hinojosa.

Mr. Falkenberg has been in the Financial Services Industry since 1990. He is a former regulator with the State of California (13 years) and NASD/FINRA (5 years). From 2008 through 2015, Mr. Falkenberg owned and operated Solid Rock Consulting, a compliance consulting service serving securities brokers and investment advisors. Estrada Hinojosa was one of SRC’s clients from 2009 until hiring him in 2015.  As compliance consultant he specialized in regulatory interactions, annually required independent tests, mock examinations, branch office inspections, training, and procedural revisions. Mr. Falkenberg was the Chief Compliance Officer for two FINRA member broker dealers.

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