Robert H. Duling
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 Howard Duling, who also goes by Bob Duling, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1982. Robert had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 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
August 28, 2019 - July 16, 2020
SAGESPRING WEALTH PARTNERS
January 2, 2009 - August 17, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 29, 2004 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 23, 2002 - August 17, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 30, 1983 - August 26, 2002
J.J.B. HILLIARD, W.L. LYONS, LLC
July 22, 1982 - August 4, 1983
TITAN/VALUE EQUITIES GROUP, INC.
Primary Firm SEC Registration
SAGESPRING WEALTH PARTNERS
CRD#: 283515 / SEC#: 801-107971
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 8
Date: 8/14/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SAGESPRING WEALTH PARTNERS
CRD#: 283515 / SEC#: 801-107971
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,811 |
| AUM (Assets Under Management) | $ 6,485,071,326 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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