Robert C. Amsbaugh
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 Carl Amsbaugh was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1982. Robert had worked at 6 firms and has passed the SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2001 - December 31, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 11, 1996 - December 31, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 6, 1991 - January 18, 1996
TITAN/VALUE EQUITIES GROUP, INC.
October 31, 1990 - February 14, 1991
WOODBURY FINANCIAL SERVICES, INC.
March 27, 1990 - October 2, 1990
CENTURY INVESTORS OF AMERICA, INC.
September 20, 1989 - March 5, 1990
INVEST FINANCIAL CORPORATION
July 7, 1982 - April 15, 1986
PRUCO SECURITIES, 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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
