Robert A. Laird
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 Allen Laird SR, who also goes by Bob Laird Sr, Bob Laird, Robert Allen Laird, 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 5, Series 3, Series 15, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 1996 - April 20, 2000
FOX & COMPANY INVESTMENTS INC.
March 30, 1995 - December 31, 1995
WMA SECURITIES, INC.
December 22, 1990 - February 13, 1995
FOX & COMPANY INVESTMENTS INC.
January 8, 1990 - November 20, 1990
MASON, HUNT & CO., INC.
March 16, 1989 - December 19, 1989
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
March 6, 1989 - December 14, 1989
KFS BD, INC.
May 9, 1988 - January 23, 1989
YOUNG, SMITH & PEACOCK, INC.
February 15, 1988 - April 19, 1988
LEHMAN BROTHERS INC.
September 11, 1985 - February 15, 1988
E. F. HUTTON & COMPANY INC
March 6, 1985 - August 16, 1985
KFS BD, INC.
February 16, 1985 - August 9, 1985
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
August 23, 1984 - August 31, 1984
KFS BD, INC.
September 26, 1983 - October 9, 1984
MUTUAL OF OMAHA INVESTOR SERVICES, 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
Series 5
Date: 7/28/1987
Interest Rate Options ExaminationSeries 15
Date: 7/2/1986
Foreign Currency Options ExaminationCurrent Firm
FOX & COMPANY INVESTMENTS INC.
CRD#: 18517 / SEC#: , 8-37061
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
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.
