Robert D. Wakefield
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 Douglas Wakefield, who also goes by Doug Wakefield, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 5 firms and has passed the Series 65, Series 63, Series 7 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
January 1, 2006 - December 12, 2018
BEST MINDS, INC.
April 7, 2005 - December 31, 2005
BEST MINDS, INC.
March 10, 2004 - April 27, 2005
LEO BROKERAGE, LLC
January 10, 2003 - April 8, 2005
LEO BROKERAGE, LLC
July 8, 1996 - December 1, 2003
GENERATIONS ADVISORS, INC.
May 9, 1996 - January 8, 2003
FSC SECURITIES CORPORATION
May 9, 1996 - January 8, 2003
FSC SECURITIES CORPORATION
October 23, 1985 - May 14, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BEST MINDS, INC.
CRD#: 134121 / SEC#:
Contact information
Red Flags
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