Robert A. Bade
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 Alan Bade, who also goes by Robert Allen Bade, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 6 firms and has passed the SIE, Series 7, Series 8, Series 14 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2004 - January 27, 2015
CABRERA CAPITAL MARKETS, LLC
July 23, 1999 - June 25, 2002
HARRIS NESBITT CORP.
October 19, 1994 - March 13, 1998
RODMAN & RENSHAW INC.
March 25, 1993 - October 5, 1994
HAMILTON INVESTMENTS, INC.
February 17, 1984 - June 30, 1992
FIRST OPTIONS OF CHICAGO, INC.
January 20, 1983 - June 21, 1983
BECKER PARIBAS INCORPORATED
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 8
Date: 10/10/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CABRERA CAPITAL MARKETS, LLC
CRD#: 10081 / SEC#: , 8-26406
Contact information
FINRA licenses (30 States and Territories)
Documents
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.
