Robert A. Smith
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 Allen Smith, who also goes by Bob Smith, Robert A Smith, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 13 firms and has passed the Series 63 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
February 7, 2012 - December 31, 2012
FORESTERS EQUITY SERVICES, INC.
February 7, 2012 - December 31, 2012
FORESTERS EQUITY SERVICES, INC.
May 20, 2009 - February 1, 2012
FINANCIAL TELESIS INC
May 15, 2009 - February 1, 2012
FINANCIAL TELESIS INC
October 17, 2008 - May 18, 2009
INTERVEST INTERNATIONAL, INC.
October 15, 2008 - May 18, 2009
INTERVEST INTERNATIONAL EQUITIES CORPORATION
November 2, 2006 - October 20, 2008
SPC
September 22, 2005 - October 20, 2008
PARKLAND SECURITIES, LLC
January 1, 1999 - May 11, 2005
PLANFINCO
December 6, 1995 - September 21, 2005
HORNOR, TOWNSEND & KENT, LLC
February 18, 1993 - December 4, 1995
1717 CAPITAL MANAGEMENT COMPANY
November 19, 1989 - April 24, 1991
OSAIC WEALTH, INC.
September 16, 1989 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
October 21, 1987 - April 5, 1988
THE STUART-JAMES COMPANY, INCORPORATED
March 22, 1983 - October 19, 1983
DAIN RAUSCHER 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
Current Firm
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
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.
