Robert J. Ganter
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 Joseph Ganter, CFP® was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 52, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2007
Experience
May 19, 2023 - December 20, 2023
TD AMERITRADE, INC.
June 20, 2002 - March 12, 2024
CHARLES SCHWAB & CO., INC.
November 1, 1993 - March 12, 2024
CHARLES SCHWAB & CO., INC.
September 5, 1989 - October 21, 1993
AMERIPRISE ADVISOR SERVICES, INC.
August 5, 1988 - June 30, 1989
CITIGROUP GLOBAL MARKETS INC.
December 26, 1986 - June 2, 1988
GLICKENHAUS & CO. - NEW JERSEY
May 17, 1983 - December 26, 1986
LISS TENNER & GOLDBERG SECURITIES CORPORATION
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
