Robert M. Safford
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 Michael Safford was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1989. Robert had worked at 7 firms and has passed the Series 63 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2006 - February 8, 2010
WELLS NELSON & ASSOCIATES, L.L.C.
August 6, 2001 - December 16, 2005
GEORGE K. BAUM & COMPANY
February 12, 1996 - August 10, 2001
HILLTOP SECURITIES INC.
December 14, 1995 - January 2, 1996
LINTZ GLOVER WHITE & COMPANY, INC.
June 1, 1992 - May 18, 1995
LLAMA COMPANY
August 14, 1990 - January 15, 1992
RAUSCHER PIERCE REFSNES, INC.
May 26, 1989 - July 6, 1990
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WELLS NELSON & ASSOCIATES, L.L.C.
CRD#: 104030 / SEC#: , 8-52490
Contact information
Disclosures
| Regulatory Event | 1 |
Red Flags
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