Robert L. Ross
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 Lee Ross 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 and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2006 - May 15, 2017
SAMCO CAPITAL MARKETS, INC.
February 3, 2003 - May 19, 2006
PENSON FINANCIAL SERVICES, INC.
August 7, 2001 - February 3, 2003
SERVICE ASSET MANAGEMENT COMPANY
October 10, 1997 - September 1, 2000
PENSON FINANCIAL SERVICES, INC.
November 30, 1992 - October 13, 1997
MOMENTUM INDEPENDENT NETWORK INC.
May 26, 1992 - October 8, 1992
RAUSCHER PIERCE REFSNES, INC.
September 4, 1990 - May 18, 1992
WELLS FARGO CLEARING SERVICES, LLC
January 4, 1989 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
November 14, 1984 - January 2, 1989
GREYSTONE SECURITIES, 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
SAMCO CAPITAL MARKETS, INC.
CRD#: 136532 / SEC#: , 8-67023
Contact information
FINRA licenses (52 States and Territories)
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.
