Robert L. Mccook
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 Leslie Mccook, who also goes by Robert L Mccook, 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 63, Series 7, Series 3, Series 15, Series 5 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 24, 1996 - November 17, 2000
SOUTHWICK INVESTMENTS, INC.
October 6, 1995 - September 20, 1996
AMHERST SECURITIES GROUP, L.P.
June 13, 1994 - August 7, 1995
WESTCAP SECURITIES, L.P.
April 3, 1993 - April 13, 1994
CRESTAR SECURITIES CORPORATION
May 10, 1991 - December 15, 1991
CRESTAR SECURITIES CORPORATION
June 4, 1983 - July 2, 1986
THOMSON MCKINNON SECURITIES INC.
State Registrations and Notice Filings
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Exams
Series 15
Date: 6/17/1983
Foreign Currency Options ExaminationSeries 5
Date: 6/10/1983
Interest Rate Options ExaminationCurrent Firm
SOUTHWICK INVESTMENTS, INC.
CRD#: 36127 / SEC#: , 8-47020
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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