Robert D. Race
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 David Race was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1988. Robert had worked at 9 firms and has passed the Series 63, Series 7, Series 4, Series 53 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
July 24, 1998 - October 10, 2001
WINCHESTER INVESTMENT SECURITIES, INC.
October 1, 1996 - March 27, 1998
BIRCHTREE FINANCIAL SERVICES LLC
August 21, 1996 - October 1, 1996
H.J. MEYERS & CO., INC.
September 11, 1995 - August 21, 1996
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
February 14, 1992 - May 15, 1995
KINGLAND CAPITAL CORPORATION
June 29, 1990 - December 23, 1991
OPPENHEIMER & CO. INC.
August 1, 1989 - May 25, 1990
RODMAN & RENSHAW INC.
October 4, 1988 - July 29, 1989
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 20, 1988 - October 4, 1988
CEDAR SECURITIES, 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
Current Firm
WINCHESTER INVESTMENT SECURITIES, INC.
CRD#: 28543 / SEC#: , 8-43971
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
