Robert F. Lutz
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 Forrest Lutz was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1984. Robert had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2013 - November 27, 2019
ALLIANZ GLOBAL INVESTORS U.S. LLC
March 18, 2013 - November 27, 2019
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
July 21, 2009 - December 31, 2012
TRADEWINDS GLOBAL INVESTORS, LLC
March 20, 2009 - January 9, 2013
NUVEEN SECURITIES, LLC
March 9, 2006 - July 1, 2008
SADDLE PEAK ASSET MANAGEMENT, LLC
August 19, 1985 - March 10, 2006
PRUDENTIAL EQUITY GROUP, LLC
August 21, 1984 - June 6, 1985
SBC WARBURG DILLON READ 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
Series 8
Date: 6/11/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALLIANZ GLOBAL INVESTORS U.S. LLC
CRD#: 149003 / SEC#: 801-69803
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 11 |
| AUM (Assets Under Management) | $ 4,976,389,140 |
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.
