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RG

Robert D. Grimes

Some features on this profile are disabled
CRD#: 1223554
RG

Professional summary

Robert Douglas Grimes 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 professional and started their career in finance in 1984. Prior to being barred, Robert had worked at 4 firms, which includes ARGENT INVESTMENT SERVICES INC., LEGG MASON WOOD WALKER INCORPORATED, A. G. EDWARDS & SONS INC., NORTHWESTERN MUTUAL INVESTMENT SERVICES LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bert Grimes | Robert D Grimes

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

May 15, 1996 - May 1, 2002

ARGENT INVESTMENT SERVICES, INC.

BD
CRD#: 25624
RUSTON, LA
Past

April 3, 1995 - May 7, 1996

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD
Past

December 21, 1992 - April 3, 1995

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

April 3, 1984 - January 11, 1993

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI

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
RR
Series 63
Date: 3/9/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/26/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/2/1984
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AI
ARGENT INVESTMENT SERVICES, INC.
ACCESS INVESTMENT MANAGEMENT, INC. | TCL SECURITIES, INC. | ARGENT INVESTMENT SERVICES, INC. | ARGENT INVESTMENT SERVICES

CRD#: 25624 / SEC#: , 8-41897

BD
Terminated by SEC on 02/16/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
Louisiana since 08/31/1987
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ARGENT FINANCIAL GROUPSOLE SHAREHOLDER
HOPKINS, KATHY COOKSECRETARY OF THE BOARD2650811
JONES, MICHAEL RAYPRESIDENT1270369
PENDERGRASS, TYRUS LAMARSR. VICE PRESIDENT1156182
RODGERS, STEPHENS RUDOLPHSR. VICE PRESIDENT1870455

Disclosures

Regulatory Event2
Arbitration2

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

ARGENT INVESTMENT SERVICES, INC.

CRD#: 25624

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