Robert G. Caro
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 Glenn Caro, who also goes by Glenn Caro, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 5 firms and has passed the Series 65, Series 63, Series 7 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
November 28, 2011 - June 4, 2014
NAVY FEDERAL ASSET MANAGEMENT, LLC
September 27, 2011 - June 4, 2014
NAVY FEDERAL INVESTMENT SERVICES, LLC
July 1, 2003 - September 19, 2011
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - September 19, 2011
WELLS FARGO CLEARING SERVICES, LLC
March 28, 1991 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
June 5, 1990 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
March 3, 1983 - June 6, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
NAVY FEDERAL ASSET MANAGEMENT, LLC
CRD#: 144244 / SEC#:
Contact information
Red Flags
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