Robert S. Mori
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 Shigeru Mori, who also goes by Mori, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1996. Robert had worked at 6 firms and has passed the Series 65, 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
March 22, 2011 - December 31, 2013
FINANCIAL ADVISORS NW INC
January 12, 2000 - November 8, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 5, 1999 - December 31, 1999
SUNAMERICA SECURITIES, INC.
September 10, 1997 - December 31, 1998
SECURIAN FINANCIAL SERVICES, INC.
July 15, 1996 - August 11, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
April 4, 1996 - July 15, 1996
GUARDIAN INVESTOR SERVICES LLC
State Registrations and Notice Filings
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Exams
Current Firm
FINANCIAL ADVISORS NW INC
CRD#: 156445 / SEC#:
Contact information
Red Flags
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