Robert E. Roe
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 Emanuel Roe, who also goes by Bob Roe, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 4 firms and has passed the Series 63, Series 3 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
September 3, 1997 - March 4, 2014
FIRST SOUTHWEST COMPANY, LLC
August 26, 1996 - September 17, 1996
FIRST SOUTHWEST COMPANY, LLC
March 6, 1990 - August 23, 1996
RAUSCHER PIERCE REFSNES, INC.
June 13, 1989 - July 3, 1989
RAUSCHER PIERCE REFSNES, INC.
January 5, 1988 - June 23, 1989
J.P. MORGAN SECURITIES LLC
September 21, 1983 - November 10, 1987
SALOMON BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST SOUTHWEST COMPANY, LLC
CRD#: 316 / SEC#: , 8-1523
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
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.
