Robert T. Cawley
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 Thomas Cawley, who also goes by Bob Cawley, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2002. Robert had worked at 3 firms and has passed the Series 63, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2006 - December 31, 2013
RIGGS COUNSELMAN FINANCIAL ADVISORY, LLC
June 10, 2004 - February 2, 2006
LEGG MASON WOOD WALKER, INCORPORATED
December 18, 2002 - July 9, 2004
KESTRA INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
RIGGS COUNSELMAN FINANCIAL ADVISORY, LLC
CRD#: 139928 / SEC#:
Contact information
Red Flags
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