Robert C. Kleiber
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 Christman Kleiber, who also goes by Bob Kleiber, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 9 firms and has passed the Series 63, Series 65, 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
December 3, 2012 - September 11, 2013
MUTUAL SECURITIES, INC.
June 28, 2012 - November 10, 2020
COMPASS FINANCIAL MANAGEMENT LLC
May 13, 2011 - June 1, 2012
COMPASS FINANCIAL MANAGEMENT LLC
March 29, 2010 - December 20, 2010
SENTINEL SECURITIES, LLC.
July 20, 2006 - April 17, 2008
GLEN RAUCH SECURITIES, INC.
February 25, 2004 - March 25, 2004
GLEN RAUCH SECURITIES, INC.
June 26, 2002 - May 18, 2011
NEW CENTURY ASSET MANAGEMENT, INC.
August 18, 1997 - February 28, 2002
DRESKIN, GILLMAN & GRANET, INC.
March 26, 1993 - September 26, 1995
MIDLANTIC SECURITIES CORP.
April 27, 1989 - December 31, 1990
MUTUAL SERVICE CORPORATION
October 23, 1985 - May 5, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
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
MUTUAL SECURITIES, INC.
CRD#: 13092 / SEC#: 801-68443, 8-28580
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL GROUP, INC. | CORPORATION | |
| CLAUSSEN, DAWN MARIE | CHIEF OPERATING OFFICER | 5445747 |
| DAMIANI, NICHOLAS ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 5669491 |
| JASPER, AARON T | CHIEF EXECUTIVE OFFICER | 5016734 |
| SABOL, RYAN STEPHEN | MANAGING PRINCIPAL | 4419285 |
| SHANNON, DEBRA DAWN | CHIEF COMPLIANCE OFFICER | 5021297 |
| VOSS, MITCHELL CRAIG | CHAIRMAN | 1029100 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 8 |
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.
