Robert W. Back
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 Wyatt Back, who also goes by Bob Back, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1982. Robert had worked at 7 firms and has passed the Series 63 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
August 27, 1991 - October 2, 2012
RCM SECURITIES
May 2, 1990 - September 3, 1992
LISS FINANCIAL SERVICES
January 2, 1990 - February 13, 1990
COVENTRY CAPITAL, INC.
November 14, 1987 - February 8, 1989
LEGG MASON WOOD WALKER, INCORPORATED
November 5, 1984 - November 4, 1987
RODMAN & RENSHAW INC.
May 6, 1983 - November 6, 1984
BLUNT ELLIS & LOEWI INCORPORATED
July 22, 1982 - May 13, 1983
PRESCOTT, BALL & TURBEN, INC.
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
RCM SECURITIES
CRD#: 15548 / SEC#: , 8-33866
Contact information
FINRA licenses (24 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
