Robert G. Wathen
Professional summary
Robert Gordon Wathen SR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Robert had worked at 4 firms, which includes SECURITIES SERVICE NETWORK LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, LEHMAN BROTHERS INC., UBS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 1995 - March 18, 1998
SECURITIES SERVICE NETWORK, LLC
December 10, 1991 - March 1, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 22, 1989 - March 19, 1991
LEHMAN BROTHERS INC.
July 28, 1988 - October 31, 1988
UBS FINANCIAL SERVICES INC.
September 18, 1981 - June 11, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 9/17/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SECURITIES SERVICE NETWORK, LLC
CRD#: 13318 / SEC#: , 8-28980
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHARE HOLDER | |
| BLANCATO, PHILIP SALVATORE | DIRECTOR | 2122221 |
| GIOVANNIELLO, JOSEPH JR | DIRECTOR | 3086071 |
| GODBEE, CRYSTAL LEE | VICE PRESIDENT OF OPERATIONS | 5629010 |
| KLIMAS, RONALD THOMAS | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2321602 |
| MAAS, JONATHAN ELMER | VICE PRESIDENT, TRADING | 2793069 |
| MCKENNA, NINA | SECRETARY | 6302448 |
| PATEL, JAYAPRAKASH MOHANBHAI | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER | 2973297 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| WILKINSON, WADE SHANNON | PRESIDENT AND CEO | 2312703 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 5 |
| Bond | 1 |
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