Robert R. Rapier
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 Ray Rapier, who also goes by Bob Rapier, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1982. Robert had worked at 9 firms and has passed the Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2007 - March 7, 2014
THE LEADERS GROUP, INC.
August 28, 2001 - December 19, 2006
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 1, 1999 - August 13, 2001
PRINCIPAL SECURITIES, INC.
February 8, 1996 - December 31, 1997
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 1, 1995 - February 7, 1996
VOYA FINANCIAL ADVISORS, INC.
February 24, 1995 - October 1, 1995
RELIASTAR FINANCIAL MARKETING CORP.
November 9, 1994 - March 1, 1995
WMA SECURITIES, INC.
August 5, 1992 - November 14, 1994
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 20, 1988 - March 1, 1991
SECURIAN FINANCIAL SERVICES, INC.
March 14, 1985 - December 31, 1987
PPS SECURITIES CORP.
November 9, 1982 - January 30, 1985
WS GRIFFITH SECURITIES, 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
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
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.
