Robert W. Stout
Professional summary
Robert Wesley Stout was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert Wesley Stout, who also goes by Robert W Stout, Rw Stout, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 30 firms and has passed the Series 65, Series 63, Series 55, Series 5, Series 15, Series 22, Series 7, Series 6, Series 53, Series 4, Series 27, Series 39, Series 26 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2007 - May 23, 2008
UNION CAPITAL COMPANY
September 13, 2004 - October 30, 2006
UNION CAPITAL COMPANY
May 27, 2004 - July 5, 2005
SETHI FINANCIAL INVESTMENTS, INC.
April 13, 2004 - September 7, 2004
MTT FUNDCORP, INC.
April 13, 2004 - September 7, 2004
CONNELY DOWD MANAGEMENT, INC.
April 12, 2004 - July 12, 2004
MUTUALS.COM, INC.
March 24, 2004 - August 10, 2004
BLUE MARBLE FINANCIAL, LLC
October 16, 2003 - December 20, 2005
BRUNDYN SECURITIES INC.
October 16, 2003 - October 29, 2008
VARIABLE INVESTMENT ASSOCIATES, INC.
October 25, 2002 - February 19, 2011
THE STREET, INC.
March 11, 2002 - November 19, 2002
HEADWATERS BD, LLC
August 14, 2001 - December 20, 2001
FIRST ATLANTA SECURITIES, LLC
August 29, 2000 - December 18, 2000
INSTITUTIONAL EQUITY CORPORATION
June 5, 2000 - August 10, 2004
CG CAPITAL MARKETS, LLC
March 10, 2000 - October 29, 2002
CAPROCK SERVICES, LTD.
October 26, 1999 - August 15, 2000
BENNETT ROSS, INC.
October 20, 1999 - August 4, 2003
SHELMAN SECURITIES CORP.
July 19, 1999 - June 25, 2001
ADVISORS ASSET MANAGEMENT, INC.
October 7, 1998 - March 8, 1999
CDH CAPITAL CORPORATION
June 19, 1998 - February 29, 2000
CAMBRIDGE FINANCIAL CORPORATION
May 14, 1998 - January 20, 1999
ACCESS BROKER.COM, INC.
January 28, 1998 - April 24, 1998
TAMARACK FINANCIAL, INC.
September 19, 1997 - February 24, 2005
EURO AMERICAN CAPITAL CORPORATION
April 22, 1997 - May 5, 1997
LLOYD WADE SECURITIES INC.
December 17, 1996 - August 31, 1998
ATLANTIC PACIFIC FINANCIAL, INC.
October 31, 1994 - December 31, 1994
STONEX SECURITIES INC.
December 14, 1990 - April 25, 1991
GLP INVESTMENT SERVICES, LLC
March 20, 1990 - November 13, 1992
INVESTAMERICA FINANCIAL SERVICES CORPORATION
March 16, 1988 - October 9, 1989
STONEX SECURITIES INC.
April 15, 1987 - March 22, 1988
NORRIS & HIRSHBERG, INC.
March 21, 1986 - April 8, 1986
MICHELIN AND COMPANY, INC.
April 17, 1985 - March 21, 1986
PFS INVESTMENTS INC.
Primary Firm SEC Registration
UNION CAPITAL COMPANY
CRD#: 110301 / SEC#: 801-121320, 8-53127
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 55
Date: 11/24/1998
Limited Representative-Equity Trader ExamSeries 5
Date: 6/28/1990
Interest Rate Options ExaminationSeries 15
Date: 6/21/1990
Foreign Currency Options ExaminationCurrent Firm
UNION CAPITAL COMPANY
CRD#: 110301 / SEC#: 801-121320, 8-53127
Contact information
SEC notice filing (16 States and Territories)
FINRA licenses (43 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 517 |
| AUM (Assets Under Management) | $ 177,000,000 |
Disclosures
| Regulatory Event | 2 |
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.
