Andre J. Robert
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.
Andre James Robert was a registered financial professional .
Andre is a previously registered financial professional and started their career in finance in 1982. Andre had worked at 3 firms and has passed the Series 63, SIE, Series 3, Series 15, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2007 - February 23, 2015
RICE, VOELKER, LLC
September 8, 1987 - October 11, 2007
JOHNSON RICE & COMPANY L.L.C.
November 24, 1982 - September 16, 1987
HOWARD, WEIL, LABOUISSE, FRIEDRICHS 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 15
Date: 12/13/1982
Foreign Currency Options ExaminationCurrent Firm
RICE, VOELKER, LLC
CRD#: 39838 / SEC#: , 8-48854
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
