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RB

Robert E. Bickford

Some features on this profile are disabled
CRD#: 1206667
RB

Professional summary

Robert Eugene Bickford III was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Robert is a previously registered financial advisor and started their career in finance in 1985. Prior to being barred, Robert had worked at 2 firms, which includes BANC OF AMERICA INVESTMENT SERVICES INC., QUICK & REILLY INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert Eugene Bickford

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 20, 2004 - July 5, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
MCLEAN, VA
Past

October 20, 2004 - July 5, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
MCLEAN, VA
Past

April 16, 2004 - October 20, 2004

QUICK & REILLY, INC.

RIA
CRD#: 11217
MCCLEAN, VA
Past

April 25, 1985 - October 20, 2004

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/1/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/29/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/20/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 23
Date: 12/8/2006
General Securities Principal Sales Supervisor
Principal/Supervisory Exam
RR
Series 4
Date: 7/11/1990
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 6/28/1990
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

BO
BANC OF AMERICA INVESTMENT SERVICES, INC.
BANC OF AMERICA INVESTMENT SERVICES, INC. | NCNB SECURITIES, INC. | NATIONSBANC SECURITIES, INC. | NATIONSBANC INVESTMENTS, INC.

CRD#: 16361 / SEC#: , 8-33805

BD
Terminated by SEC on 12/27/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 06/14/1984
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MERRILL LYNCH & CO., INC.SHAREHOLDER
BENSON, MARK JARRETTPRESIDENT/CEO/DIRECTOR/CHAIRMAN1915552
CALL, JOHN SCOTTSVP/CHIEF COMPLIANCE OFFICER/DIRECTOR OF COMPLIANCE2815968
NEWTH, RONALD JOSEPHCHIEF OPERATING OFFICER/DIRECTOR1454390
OSAKI, ISAACCHIEF LEGAL OFFICER4910551
ROMANO, JOHN GARYCFO/DIRECTOR5078610

Disclosures

Regulatory Event53
Civil Event1
Arbitration68

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.

Company Information

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

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