Robert R. Topping
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 Ryburn Topping, who also goes by Rob Topping, 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, SIE, Series 3 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
January 7, 2020 - March 21, 2022
IOI CAPITAL AND MARKETS, LLC
November 10, 2006 - November 8, 2019
BRAZOS SECURITIES, INC.
January 7, 1998 - November 3, 2006
BURCH CAPITAL MANAGEMENT, INC.
January 3, 1992 - January 8, 1998
MAY FINANCIAL CORPORATION
January 13, 1987 - January 16, 1992
STONEGATE CAPITAL MARKETS, INC.
October 11, 1984 - January 2, 1987
KIDDER, PEABODY & CO. INCORPORATED
September 24, 1982 - October 26, 1984
SCHNEIDER, BERNET & HICKMAN, INC.
State Registrations and Notice Filings
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Exams
Current Firm
IOI CAPITAL AND MARKETS, LLC
CRD#: 290944 / SEC#: , 8-70045
Contact information
Documents
Red Flags
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