Robert H. Fuller
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 Howorth Fuller JR, who also goes by Robert Howorth Fuller, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1982. Robert had worked at 12 firms and has passed the Series 63, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2016 - January 30, 2017
BANKERS LIFE SECURITIES, INC.
March 29, 2016 - September 12, 2016
AVANTAX INVESTMENT SERVICES, INC.
January 6, 2014 - April 17, 2014
PRUCO SECURITIES, LLC.
December 16, 1991 - June 16, 1992
AIMCO SECURITIES COMPANY, INC.
July 26, 1990 - October 30, 1991
TITAN/VALUE EQUITIES GROUP, INC.
August 22, 1989 - May 24, 1990
REMINGTON SECURITIES, INC.
November 2, 1988 - July 31, 1989
TRADEMARK INVESTMENT SERVICES, INC.
November 23, 1985 - October 17, 1988
THOMSON MCKINNON SECURITIES INC.
November 28, 1984 - November 23, 1985
SUTRO & CO. INCORPORATED
June 25, 1984 - December 6, 1984
WEDBUSH SECURITIES INC.
May 16, 1983 - July 2, 1984
RAUSCHER PIERCE REFSNES, INC.
February 11, 1982 - May 5, 1983
PRUDENTIAL EQUITY GROUP, LLC
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
Current Firm
BANKERS LIFE SECURITIES, INC.
CRD#: 173962 / SEC#: , 8-69562
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CDOC, INC. | PARENT COMPANY | |
| GOLDBERG, SCOTT LOUIS | BOARD MEMBER | 5296395 |
| HEILMAN, CHERYL LYNN | PRESIDENT/CEO/DIRECTOR | 2114445 |
| JOSEPHSON, STEVEN M | COO, DIRECTOR | 2239540 |
| KELLY, BRETT J | DIRECTOR, BLS OPERATIONS | 4818868 |
| LAMSON, MARK LEE | DIRECTOR OF SALES PRACTICE | 1796166 |
| MCDONOUGH, PAUL H | BOARD MEMBER | 7089411 |
| ROBERTS, ALBERTA STEPHENS | CHIEF COMPLIANCE OFFICER/ SECRETARY | 2681068 |
| TUCKER, CLARK BOMAR | FINOP | 1977842 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
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.
