Robert C. Delaplain
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Charles Delaplain, who also goes by Robert Charles Delaplain Jr, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1981. Robert had worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, Series 79TO, SIE, Series 55, Series 7, Series 24, Series 14, Series 53, Series 27, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2012 - January 15, 2026
PHX FINANCIAL, INC.
December 1, 2009 - December 20, 2010
SEABOARD SECURITIES, INC.
September 21, 2009 - December 3, 2009
OLYMPUS SECURITIES, LLC
September 4, 2009 - October 22, 2009
TODD AND COMPANY, INC.
July 6, 2005 - July 2, 2009
STRASBOURGER PEARSON TULCIN WOLFF INCORPORATED
June 8, 2005 - July 11, 2005
JOSEPH STEVENS & CO., INC.
August 6, 2004 - June 6, 2005
DILLON SCOTT SECURITIES, INC.
November 19, 2002 - August 1, 2003
PARK CAPITAL SECURITIES, LLC
August 17, 2000 - October 11, 2001
GLOBESHARE, INC.
July 18, 1991 - November 19, 2002
LAIDLAW GLOBAL SECURITIES, INC.
October 3, 1988 - August 13, 1991
DOMINICK & DICKERMAN LLC
November 27, 1981 - October 3, 1988
DOMIK CORP.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 4/15/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 3/3/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PHX FINANCIAL, INC.
CRD#: 144403 / SEC#: , 8-67653
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
