Robert S. Eichel
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 Sidney Eichel, who also goes by Rob Eichel, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 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
June 4, 2012 - August 27, 2019
JOHN HANCOCK DISTRIBUTORS LLC
July 21, 2010 - August 13, 2010
SIGNATOR INVESTORS, INC.
January 22, 2009 - June 30, 2010
TRANSAMERICA INVESTORS SECURITIES, LLC
April 5, 2006 - July 21, 2008
NATIONWIDE INVESTMENT SERVICES CORPORATION
April 20, 2005 - April 19, 2006
JANNEY MONTGOMERY SCOTT LLC
October 11, 1999 - April 19, 2006
JANNEY MONTGOMERY SCOTT LLC
May 24, 1999 - November 1, 1999
MML DISTRIBUTORS, LLC
February 2, 1999 - February 11, 1999
VOYA INVESTMENTS DISTRIBUTOR, LLC
November 10, 1997 - January 29, 1999
NICHOLAS-APPLEGATE SECURITIES LLC
July 25, 1996 - September 26, 1997
UBS FINANCIAL SERVICES INC.
July 13, 1992 - November 10, 1995
LEGG MASON WOOD WALKER, INCORPORATED
January 1, 1989 - July 9, 1992
F & G SECURITIES, INC.
January 18, 1984 - March 4, 1992
AMERICAN EXPRESS FINANCIAL CORPORATION
July 11, 1983 - May 6, 1989
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
JOHN HANCOCK DISTRIBUTORS LLC
CRD#: 5249 / SEC#: , 8-15826
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) | OWNER | |
| BOGLE, JAMES WILLIAM | PRINCIPAL FINANCIAL OFFICER AND FINANCIAL AND OPERATIONS PRINCIPAL | 7344902 |
| HARTIGAN, ROBERT JOSEPH | CHIEF COMPLIANCE OFFICER | 2931786 |
| LANNIGAN, TRACY KANE | VICE PRESIDENT & CORPORATE SECRETARY | 6944688 |
| SILVA, ANTHONY ALEX | DIRECTOR | 7755954 |
| TANKERSLEY, GARY LYNN | PRESIDENT & CHIEF EXECUTIVE OFFICER | 2637199 |
| WALKER, CHRISTOPHER MICHAEL | VICE PRESIDENT, INVESTMENTS & DIRECTOR | 4302554 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
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.
