Robert E. Carey
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 Eugene Carey, CFP®, who also goes by Bob Carey, Rob Carey, Robert Eugene Carey Sr, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1982. Robert had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1987
Experience
September 1, 2006 - March 6, 2014
QUEST CAPITAL STRATEGIES, INC.
September 1, 2006 - March 6, 2014
QUEST CAPITAL STRATEGIES, INC.
February 16, 2006 - June 7, 2006
CUNA BROKERAGE SERVICES, INC.
February 16, 2006 - June 7, 2006
CUNA BROKERAGE SERVICES, INC.
November 2, 2004 - February 13, 2006
MULTIPLE FINANCIAL SERVICES, INC.
August 30, 2001 - December 10, 2004
NEWPORT COAST SECURITIES, INC.
August 25, 1995 - July 30, 2001
BMA FINANCIAL SERVICES, INC.
July 9, 1984 - August 25, 1995
WADDELL & REED
February 7, 1983 - December 15, 1983
JRL CAPITAL CORPORATION
June 28, 1982 - February 10, 1983
WHARTON FINANCIAL 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
Current Firm
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
