Robert T. Discolo
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 Thomas Discolo, CFA, who also goes by Bob Discolo, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 5 firms and has passed the Series 63, SIE, Series 7 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
September 1, 2015 - March 15, 2016
FRANKLIN DISTRIBUTORS, LLC
October 1, 2001 - January 9, 2014
PINEBRIDGE SECURITIES LLC
June 5, 1998 - October 11, 1999
UBS FINANCIAL SERVICES INC.
October 21, 1991 - May 26, 1998
JULIUS BAER SECURITIES INC.
August 18, 1987 - June 24, 1988
NOMURA SECURITIES INTERNATIONAL, 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
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 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.
