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RW

Robert A. Weiss

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CRD#: 1233886
RW

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 Alan Weiss, who also goes by Robert Alan Weishaus, Robert Weishaus, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1984. Robert had worked at 8 firms and has passed the Series 63, Series 15, Series 5, Series 7, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert Alan Weishaus | Robert Weishaus

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

July 29, 1993 - July 30, 1999

CLAYTON SECURITIES SERVICES, INC.

BD
CRD#: 23768
CLAYTON, MO
Past

December 5, 1990 - July 29, 1993

PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.

BD
CRD#: 13741
EL PASO, TX
Past

June 21, 1990 - November 24, 1990

THE STUART-JAMES COMPANY, INCORPORATED

BD
CRD#: 11691
DENVER, CO
Past

May 30, 1989 - July 5, 1990

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

May 22, 1989 - June 7, 1989

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
Past

April 24, 1987 - May 22, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

January 4, 1985 - May 14, 1987

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

January 26, 1984 - January 2, 1985

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174

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: 1/30/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 15
Date: 2/6/1984
Foreign Currency Options Examination
General Industry/Product Exam
RR
Series 5
Date: 2/3/1984
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/20/1990
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/13/1990
Registered Options Principal Examination

Current Firm

CS
CLAYTON SECURITIES SERVICES, INC.
CLAYTON SECURITIES SERVICES, INC.

CRD#: 23768 / SEC#: , 8-40695

BD
Terminated by SEC on 02/17/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
Missouri since 02/18/1988
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BURCH, EMILY YUANOWNER
BURCH, STEPHEN KENNETHSECRETARY35324
BURCH, STEPHEN KENNETHTREASURER35324
DIEMER, MARK EDWARDPRESIDENT

Disclosures

Regulatory Event1
Arbitration1

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

CLAYTON SECURITIES SERVICES, INC.

CRD#: 23768

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