Robert N. Gest
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 N Gest JR, who also goes by Robert Norman Gest Jr, was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1984. Robert had worked at 6 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 3 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
July 27, 2007 - September 12, 2008
NATIONAL SECURITIES CORPORATION
September 17, 2003 - June 22, 2007
BROOKSTREET SECURITIES CORPORATION
March 19, 2003 - June 22, 2007
BROOKSTREET SECURITIES CORPORATION
April 27, 2001 - August 31, 2001
A. G. EDWARDS & SONS, INC.
October 2, 1985 - April 24, 2001
UBS FINANCIAL SERVICES INC.
June 27, 1985 - October 15, 1985
F.D. ROBERTS SECURITIES, INC.
October 26, 1984 - June 6, 1985
GRAYSTONE NASH, 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: 12/6/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
