Robert I. Lloyd
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 Irving Lloyd was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 2 firms and has passed the Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 1989 - December 31, 1990
GENEVA SECURITIES,INC.
January 7, 1985 - August 24, 1989
PFS INVESTMENTS 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
GENEVA SECURITIES,INC.
CRD#: 16178 / SEC#: , 8-33477
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KEFCO FINANCIAL GROUP, INC. | OWNER | |
| AUGUSTYN, BRIAN GERARD | VICE PRESIDENT, SALES - WEST DIVISION | 1438721 |
| BARR, ZENDA SYNSTEBY | VICE PRESIDENT, MUNICIPAL TRADING | 729157 |
| BRASER, DAVID VALEY | VICE PRESIDENT, MUNICIPAL TRADING | 817373 |
| EISENMENGER, RICHARD MICHAEL | CEO, DIRECTOR | 76637 |
| MAVES, CARL WILLIAM | VICE PRESIDENT, RETAIL TRADING | 323566 |
| MESSENGER, LEROY KENNETH | COO, CFO, DIRECTOR, SECRETARY/TREASURER | 815653 |
| ZUREK, JAMES KEITH | SROP/CROP | 824892 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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