Robert A. Christy
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 Allen Christy, who also goes by Bob Christy, 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 Series 65, Series 63, Series 5, Series 3, Series 7, Series 4 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
Experience
August 23, 2004 - June 20, 2006
INTEGRITY BROKERAGE, LLC
October 4, 2000 - September 3, 2004
FIRST ALLIED SECURITIES, INC.
November 12, 1996 - October 26, 2000
D.E. FREY & COMPANY, INC.
October 27, 1995 - November 11, 1996
CIBC WORLD MARKETS CORP.
December 13, 1990 - October 2, 1995
UBS FINANCIAL SERVICES INC.
October 20, 1982 - December 4, 1990
PRUDENTIAL EQUITY GROUP, 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
Series 5
Date: 1/20/1986
Interest Rate Options ExaminationCurrent Firm
INTEGRITY BROKERAGE, LLC
CRD#: 117589 / SEC#: , 8-53604
Contact information
FINRA licenses (11 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
