Robert L. Eggerling

CAPE SECURITIES

Mcdonough, GA 30253

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CRD#: 1266478

Professional summary

Robert Lee Eggerling, who also goes by Bob Eggerling, is a registered financial professional currently at CAPE SECURITIES INC. located in Mcdonough, Georgia.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1984. Robert has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bob Eggerling

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) - BD

Click below to view Robert Lee Eggerling's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

August 10, 2017 - Present

CAPE SECURITIES INC.

Office #1: 1600 Pennsylvania Avenue, Mcdonough, GA 30253

CRD#: 7072

Mcdonough, GA

Past

September 3, 2014 - August 4, 2017

FREEDOM INVESTORS CORP.

CRD#: 23714

Longwood, FL

Past

September 23, 2004 - December 31, 2014

MERRIMAC CORPORATE SECURITIES, INC.

CRD#: 35463

LAKE MARY, FL

Past

January 10, 2000 - September 27, 2004

ALLEN DOUGLAS SECURITIES, INC.

CRD#: 42410

WINTER PARK, FL

Past

December 6, 1991 - December 22, 1999

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Past

February 20, 1990 - December 5, 1991

BMA FINANCIAL SERVICES, INC.

CRD#: 7943

KANSAS CITY, MO

Past

February 28, 1989 - February 15, 1990

LOCUST STREET SECURITIES, INC.

CRD#: 1703

Past

September 13, 1988 - February 15, 1990

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

August 25, 1988 - January 17, 1989

LOCUST STREET SECURITIES, INC.

CRD#: 1703

Past

May 29, 1984 - August 22, 1988

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Colorado
(8/10/2017)

Florida
(8/10/2017)

Iowa
(8/10/2017)

Nebraska
(8/10/2017)

Exams

State Security Law Exam

Series 63

Date: 5/7/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/19/1984

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CAPE SECURITIES INC.

CRD#: 7072 / SEC#: , 8-20747

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1600 Pennsylvania Avenue, Mcdonough, GA 30253

Mailing Address

1600 Pennsylvania Avenue, Mcdonough, GA 30253

Phone number

(678) 583-1120

Established

North Carolina since 02/23/1976

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
WEBB, JAMES RANDALL	CHAIRMAN	2089446
BACHMANN, KEVIN SCOTT	PRESIDENT	1406637
CIANTRO, PHILIP	CCO	2350685
CIANTRO, PHILIP	FINOP	2350685
JOKELA, JOHN KEVIN	COO	5474831

Disclosures

Regulatory Event	2
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.

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Robert L. Eggerling

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Lee Eggerling's CRS (Customer Relationship Summary).

Certified licenses

Experience

FREEDOM INVESTORS CORP.

MERRIMAC CORPORATE SECURITIES, INC.

ALLEN DOUGLAS SECURITIES, INC.

SECURIAN FINANCIAL SERVICES, INC.

BMA FINANCIAL SERVICES, INC.

LOCUST STREET SECURITIES, INC.

LOCUST STREET SECURITIES, INC.

LOCUST STREET SECURITIES, INC.

AMERITAS INVESTMENT COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/7/1985

SIE

Date: 10/1/2018

Series 7

Date: 5/19/1984

FINRA

Current Firm

CAPE SECURITIES INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CAPE SECURITIES INC.

TRUST BUT VERIFY

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