Robert O. Mullins
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 Otis Mullins was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 7 firms and has passed the Series 63, Series 7 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
May 27, 1992 - February 9, 1995
AMERICAN CAPITAL CORPORATION
February 16, 1989 - May 18, 1992
HEIDTKE & COMPANY, INC.
July 19, 1988 - February 21, 1989
INTEGRATED RESOURCES INVESTMENT CENTERS, INC.
February 5, 1988 - August 2, 1988
ESSEX FINANCIAL SERVICES, INC.
May 5, 1986 - February 10, 1988
HEIDTKE & COMPANY, INC.
August 31, 1984 - October 15, 1985
J.C. BRADFORD & CO.
May 26, 1983 - September 5, 1984
AMERICAN EXPRESS FINANCIAL CORPORATION
May 26, 1983 - September 5, 1984
AMERIPRISE FINANCIAL SERVICES, LLC
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
AMERICAN CAPITAL CORPORATION
CRD#: 16124 / SEC#: , 8-33324
Contact information
Documents
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.
