Robert H. Von Halle
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 Harold Von Halle, who also goes by Robert Harold Vonhalle, 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 63, Series 56 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
September 18, 2012 - September 30, 2013
SIMPLEX TRADING, LLC
June 18, 2002 - May 26, 2006
MARKETAXESS CORPORATION
February 3, 1998 - March 29, 2001
GOLDMAN SACHS & CO. LLC
January 5, 1990 - January 22, 1998
J.P. MORGAN SECURITIES LLC
November 24, 1982 - January 27, 1990
SALOMON BROTHERS INC.
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 56
Date: 9/17/2012
Proprietary Trader Qualification ExaminationCurrent Firm
SIMPLEX TRADING, LLC
CRD#: 153585 / SEC#: , 8-68556
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
