Robert B. Whittemore
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 Bruce Whittemore was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 8 firms and has passed the 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
September 13, 1990 - March 13, 1991
SUNPOINT SECURITIES, INC.
March 30, 1990 - May 23, 1990
FIRST EAGLE, INC.
March 9, 1990 - April 5, 1990
PAN AMERICAN SECURITIES, INC.
January 9, 1990 - February 22, 1990
BRENNAN ROSS SECURITIES, INC.
October 5, 1989 - January 24, 1990
WELLSHIRE SECURITIES, INC.
April 5, 1989 - October 3, 1989
JOSEPHTHAL & CO., INC.
January 25, 1989 - September 13, 1991
MONMOUTH INVESTMENTS, INC.
May 10, 1983 - January 26, 1989
BLINDER, ROBINSON & CO., INC.
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
SUNPOINT SECURITIES, INC.
CRD#: 25442 / SEC#: , 8-41741
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEWIS, VAN ROBERSON | CEO/PRESIDENT/FOUNDER | 1562328 |
| CHILDERS, DIANNE BAILEY | VP COMPLIANCE | |
| HAGEN, BRETT WILLIAM | CHIEF OPERATIONS OFFICER | |
| KATZ, DONALD LESTER | FINOP/EXECUTIVE VICE PRESIDENT ACCOUNTING AND COMPLIANCE | |
| SAPAUGH, MARVIN WAYNE | EXECUTIVE V.P. OF INVESTMENT SERVICES |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 1 |
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.
